Iefile GRAPHIC print - DO NOT PROCESS As Filed Data - Form990 9; Department of the Treason Iiilemal Re\ enue Sen ice foundations) Return of Organization Exempt From Income Tax Under section 501(c), 527, or 4947(a)(1) of the Internal Revenue Code (except private Do not enter so<:ial security numbers on this form as it may be made public Information about Form 990 and Its Instructions is at IRS govgform990 OMB No 1545-0047 2016 Open to Public Inspection A For the 2016 calendar year, or tax year beginning 01-01-2016 and ending 12-31-2016 Check if applicable El Address change El Name change Name of organization CHARLES KOCH INSTITUTE ROBERT HEATON Employer identification number 27-4967732 El Initial return Final Ebturn/terminated D0ing busmess as El Amended return El Application pendingl Number and street (or 0 box if mail is not delivered to street address) 1320 COURTHOUSE ROAD STE 500 Telephone number (703) 875-1658 City or town, state or provmce, country, and ZIP or foreign postal code ARLINGTON, VA 22201 Gross receipts 16,998,220 Name and address of prinCIpal officer BRIAN HOOKS 1320 COURTHOUSE ROAD STE 500 ARLINGTON, VA 22201 I Tax?exempt status 501(c)(3) )4(insert no) l:l 4947(a)(1)or l:l 527 Website:> CHARLESKOCHINSTITUTE ORG H(b) Are all subordinates H(a) Is this a group return for l:lYes No included? Yes l:lNo If attach a list (see instructions) subordinates? Group exemption number Form of organization Corporation l:l Trust l:l ASSOCiation l:l Other} Year of formation 2011 State of legal domICIle DE Summary 1 Briefly describe the organization?s misswn or most Significant actIVIties INSPIRED BY A RECOGNITION THAT FREE PEOPLE ARE CAPABLE OF EXTRAORDINARY THINGS, THE CHARLES KOCH INSTITUTE SUPPORTS EDUCATIONAL PROGRAMS AND DIALOGUE TO (SEE SCHEDULE 0) ACIIVIUGS oi. Goveinance 2 Check this box l:l if the organization discontinued its operations or disposed of more than 25% of its net assets 3 Number of voting members of the governing body (Part VI, line 1a) 3 6 4 Number of independent voting members of the governing body (Part VI, line 1b) 4 2 5 Total number of indiViduals employed in calendar year 2016 (Part V, line 2a) 5 232 6 Total number of volunteers (estimate if necessary) 6 0 7a Total unrelated busmess revenue from Part column (C), line 12 7a 1,641,662 Net unrelated busmess taxable income from Form 990-T, line 34 7b 1,377,987 Prior Year Current Year 8 Contributions and grants (Part line 1h) 0 15,106,000 9 Program serVIce revenue (Part line 29) 0 0 10 Investment income (Part column (A), lines 3, 4, and 7d 9,388,796 1,829,348 11 Other revenue (Part column (A), lines 5, 6d, 8c, 9c, 10c, and 11e) 21,851 62,872 12 Total revenue?add lines 8 through 11 (must equal Part column (A), line 12) 9,410,547 16,998,220 13 Grants and Similar amounts paid (Part IX, column (A), lines 1?3) 1,299,555 1,212,613 14 Benefits paid to or for members (Part IX, column (A), line 4) 0 0 8 15 Salaries, other compensation, employee benefits (Part IX, column (A), lines 5?10) 11,618,750 15,162,878 16a Professwnal fundraismg fees (Part IX, column (A), line He) 0 0 g. Total fundraiSing expenses (Part IX, column (D), line 25) P0 '1 17 Other expenses (Part IX, column (A), lines 11a?11d, 11f?24e) 8,484,600 9,477,115 18 Total expenses Add lines 13?17 (must equal Part IX, column (A), line 25) 21,402,905 25,852,606 19 Revenue less expenses Subtract line 18 from line 12 -11,992,258 -8,854,386 25 3 Beginning of Current Year End of Year 13% 20 Total assets (Part X, line 16) . 271,684,160 304,586,518 :2 21 Total liabilities (Part X, line 26) . 2,101,502 6,213,908 2:3 22 Net assets or fund balances Subtract line 21 from line 20 . 269,582,658 298,372,610 Signature Block Under penalties of perjury, I declare that I have examined this return, including accompanying schedules and statements, and to the best of my knowledge and belief, it is true, correct, and complete Declaration of preparer (other than officer) is based on all information of which preparer has any knowledge 2017-11-15 Signature of officer Date Sign Here ROBERT HEATON TREASURER Type or print name and title Print/Type preparer's name Preparer's Signature Date l:l PTIN Michael Engle Michael Engle Check If P00482834 Pald self?employed Preparer Firm 5 name BKD LLP Firm 3 EIN Firm's address 1201 Walnut 1700 Phone no 816 221-6300 Use Only Kansas City, MO 641062246 May the IRS discuss this return With the preparer shown above? (see instructions) .Yes l:l No For Paperwork Reduction Act Notice, see the separate instructions. Cat No 11282Y Form 990 (2016) Form 990 (2016) Page 2 Statement of Program Service Accomplishments 1 Check if Schedule 0 contains a response or note to any line In this Part . . . . . . . . . . . . . . Briefly describe the organization's mi55ion SEE SCHEDULE 0 2 Did the organization undertake any Significant program serVIces during the year which were not listed on thepriorForm9900r990-EZ7 . . . . . . . . . . . . . . . . . . . . . l:lYes .No If "Yes," describe these new serVIces on Schedule 0 3 Did the organization cease conducting, or make Significant changes in how it conducts, any program l:lYes-No If "Yes," describe these changes on Schedule 4 Describe the organization's program serVIce accomplishments for each of its three largest program serVIces, as measured by expenses Section 501(c)(3) and 501(c)(4) organizations are reqUIred to report the amount of grants and allocations to others, the total expenses, and revenue, if any, for each program serVIce reported 4a (Code (Expenses 19,450,507 including grants of 1,212,613 (Revenue 0) See Additional Data 4b (Code (Expenses including grants of (Revenue 4c (Code (Expenses including grants of (Revenue 4d Other program serVIces (Describe in Schedule 0 (Expenses including grants of (Revenue 4e Total program service expenses? 19,450,507 Form 990 (2016) Form 990 (2016Page 3 Checklist of Required Schedules Yes No Is the organization described In section 501(c)(3) or 4947(a)(1) (other than a private Foundation)? If "Yes,? complete Yes Schedule A 1 Is the organization reqUIred to complete Schedule 5, Schedule of Contributors (see instructions)? '25] . 2 YES Did the organization engage in direct or indirect political campaign actIVItieS on behalf of or in oppOSition to candidates No for public office? If ?Yes," complete Schedule C, Part I 3 Section 501(c)(3) organizations. Did the organization engage in lobbying actiwties, or have a section 501(h) election in effect during the tax year? If "Yes, complete Schedule C, Part II . 4 Yes Is the organization a section 501(c)(4), 501(c)(5), or 501(c)(6) organization that receives membership dues, assessments, or Similar amounts as defined in Revenue Procedure 98-197 If ?Yes, complete Schedule C, Part '25] . 5 0 Did the organization maintain any donor adVIsed funds or any Similar funds or accounts for which donors have the right to prowde adVIce on the distribution or investment of amounts in such funds or accounts? If ?Yes, complete Schedule D, Part I 39' 6 0 Did the organization receive or hold a conservation easement, including easements to preserve open space, the enVIronment, historic land areas, or historic structures? If "Yes," complete Schedule D, Part II . 7 0 Did the organization maintain collections of works of art, historical treasures, or other Similar assets? If ?Yes, complete Schedule D, Part 3 0 Did the organization report an amount in Part X, line 21 for escrow or custodial account liability, serve as a custodian for amounts not listed in Part X, or prowde credit counseling, debt management, credit repair, or debt negotiation serVIces7If "Yes, complete Schedule D, Part IV 94 9 0 Did the organization, directly or through a related organization, hold assets in temporarily restricted endowments, 10 No permanent endowments, or quaSI-endowments7 If ?Yes," complete Schedule D, Part If the organization's answer to any of the followmg questions is "Yes," then complete Schedule D, Parts VI, VII, IX, or as applicable Did the organization report an amount for land, bUIldings, and eqUIpment in Part X, line 107 If "Yes, complete Schedule D, Part VI W- 118 es Did the organization report an amount for investments?other securities in Part X, line 12 that is 5% or more of its total assets reported in Part X, line 167 If "Yes, complete Schedule D, Part VII 11b es Did the organization report an amount for investments?program related in Part X, line 13 that is 5% or more of its total assets reported in Part X, line 167 If ?Yes," complete Schedule D, Part 9.4 11C 0 Did the organization report an amount for other assets in Part X, line 15 that is 5% or more of its total assets reported in Part X, line 167? If "Yes complete Schedule D, Part Did the organization report an amount for other liabilities in Part X, line 257 If "Yes,' complete Schedule D, PartX 11e No Did the organization's separate or consolidated finanCIal statements for the tax year include a footnote that addresses 11f No the organization's liability for uncertain tax pOSItions under FIN 48 (ASC 740)? If "Yes," complete Schedule D, Part 39' Did the organization obtain separate, independent audited finanCIal statements for the tax year? If ?Yes, complete Schedule D, Parts Was the organization included in consolidated, independent audited finanCIal statements for the tax year? 12b Yes If "Yes, and if the organization answered "No? to line 12a, then completing Schedule D, Parts XI and XII iS optional Is the organization a school described in section 170(b)(1)(A)(ii)7 If ?Yes," complete Schedule 13 Yes Did the organization maintain an office, employees, or agents outSide of the United States? 14a No Did the organization have aggregate revenues or expenses of more than $10,000 from grantmaking, fundraiSing, busmess, investment, and program serVIce actIVIties outSide the United States, or aggregate foreign investments valued at $100,000 or more? If ?Yes," complete Schedule F, Parts I and IV . 14b N0 Did the organization report on Part IX, column (A), line 3, more than $5,000 of grants or other aSSistance to or for any foreign organization? If "Yes, complete Schedule F, Parts II and IV . 15 N0 Did the organization report on Part IX, column (A), line 3, more than $5,000 of aggregate grants or other aSSistance to or for foreign indiViduals? If "Yes, complete Schedule F, Parts and IV . 16 N0 Did the organization report a total of more than $15,000 of expenses for profeSSIonal fundraising serVIceS on Part IX, 17 No column (A), lines 6 and 11e7 If ?Yes," complete Schedule G, PartI (see instructions) Did the organization report more than $15,000 total of fundraiSing event gross income and contributions on Part lines 1c and 8a? If "Yes," complete Schedule G, Part II . 18 No Did the organization report more than $15,000 of gross income from gaming actIVItieS on Part line 9a? If "Yes," complete Schedule G, Part . . . 19 N0 Form 990 (2016) Form 990 (2016) Page 4 Checklist of Required Schedules (continued) Yes No 203 Did the organization operate one or more hospital faCIlities? If ?Yes," complete Schedule . 20a No If "Yes" to line 20a, did the organization attach a copy of its audited finanCIal statements to this return? 20b 21 Did the organization report more than $5,000 of grants or other assistance to any domestic organization or domestic 21 Yes government on Part IX, column (A), line 1? If "Yes,? complete Schedule I, Parts I and II . 22 Did the organization report more than $5,000 of grants or other a55istance to or for domestic indiViduals on Part IX, 22 column (A), line 2? If "Yes, complete Schedule I, Parts I and . W- Yes 23 Did the organization answer "Yes" to Part VII, Section A, line 3, 4, or 5 about compensation of the organization's current and former officers, directors, trustees, key employees, and highest compensated employees? If ?Yes," 23 Yes completeScheduleJ24a Did the organization have a tax- -exempt bond issue With an outstanding prinCIpal amount of more than $100, 000 as of the last day of the year, that was issued after December 31, 2002? If "Yes, answer lines 24b through 24d and complete Schedule If go to line 25a . 24a No Did the organization invest any proceeds of tax-exempt bonds beyond a temporary period exception? . 24b Did the organization maintain an escrow account other than a refunding escrow at any time during the year to defease any tax-exempt bonds? 24c Did the organization act as an "on behalf of" issuer for bonds outstanding at any time during the year? 24d 25a Section 501(c)(3), 501(c)(4), and 501(c)(29) organizations. Did the organization engage in an excess benefit transaction With a disqualified person during the year? If "Yes," 25 complete Schedule L, PartI . . . . a a Is the organization aware that it engaged in an excess benefit transaction With a disqualified person in a prior year, and that the transaction has not been reported on any of the organization?s prior Forms 990 or 25b No If ?Yes,"complete Schedule L, PartI . . . . . . . . . . . . . . . . . . . 26 Did the organization report any amount on Part X, line 5, 6, or 22 for receivables from or payables to any current or former officers, directors, trustees, key employees, highest compensated employees, or disqualified persons? 26 No II If Yes, complete Schedule L, Part II 27 Did the organization prowde a grant or other a55istance to an officer, director, trustee, key employee, substantial contributor or employee thereof, a grant selection committee member, or to a 35% controlled entity or family member 27 No of any of these persons? If ?Yes, complete Schedule L, Part . . . . 28 Was the organization a party to a business transaction With one of the fo 0Wing parties (see Schedule L, Part IV instructions for applicable filing thresholds, conditions, and exceptions) a A current or former officer, director, trustee, or key employee? If "Yes," complete Schedule L, In Part family member of a current or former officer, director, trustee, or key employee? If "Yes, complete Schedule L, Part IV 28b No An entity of which a current or former officer, director, trustee, or key employee (or a family member thereof) was an officer, director, trustee, or direct or indirect owner? If "Yes, complete Schedule L, Part IV . 23C es 29 Did the organization receive more than $25,000 in non-cash contributions? If "Yes,? complete Schedule . 29 No 30 Did the organization receive contributions of art, historical treasures, or other similar assets, or qualified conservation contributions? If "Yes, complete Schedule 30 N0 31 Did the organization liqUIdate, terminate, or dissolve and cease operations? If ?Yes," complete Schedule N, PartI . 31 32 Did the organization sell, exchange, dispose of, or transfer more than 25% of its net assets? If ?Yes, complete Schedule N, Part II 32 N0 33 Did the organization own 100% of an entity disregarded as separate from the organization under Regulations sections 301 7701- 2 and 301 7701- 3? If "Yes," complete Schedule R, PartI 33 es 34 Was the organization related to any tax- -exempt or taxable entity? If ?Yes," complete Schedule R, Part II, or IV, and 34 Part V, line 1 es 35a Did the organization have a controlled entity Within the meaning of section 512(b)(13)? 35a Yes If ?Yes' to line 35a, did the organization receive any payment from or engage in any transaction With a controlled entity 35b Within the meaning of section 512(b)(13)? If ?Yes," complete Schedule R, Part V, line 2 36 Section 501(c)(3) organizations. Did the organization make any transfers to an exempt non-charitable related organization? If "Yes,? complete Schedule R, Part V, line Did the organization conduct more than 5% of its actIVIties through an entity that is not a related organization and that is treated as a partnership for federal income tax purposes? If "Yes, complete Schedule R, Part VI 37 38 Did the organization complete Schedule 0 and prowde explanations in Schedule 0 for Part VI, lines 11b and 19? Note. All Form 990 filers are reqUIred to complete Schedule 0 38 Yes Form 990 (2016) Form 990 (2016) Page 5 Statements Regarding Other IRS Filings and Tax Compliance Check If Schedule 0 contains a response or note to any line In this Part . Enter the number reported In Box 3 of Form 1096 Enter -0- If not applicable . . 1a 178 Enter the number of Forms W-2G Included In line 1a Enter -0- If not applicable 1b 0 Did the organizatIon comply With backup Withholding rules for reportable payments to vendors and reportable gaming (gambling) WinnIngs to prIze Winners? 1c Yes Enter the number of employees reported on Form W-3, Transmittal of Wage and Tax Statements, ?led for the calendar year ending WIth or WIthIn the year covered by 2a 232 If at least one IS reported on line 2a, dId the organization We all reqUIred federal employment tax returns? 2b Yes Note.If the sum of lines 1a and 2a Is greater than 250, you may be reqUIred to e-fIle (see instructions) Did the organization have unrelated busmess gross income of $1,000 or more during the year? 3a Yes If ?Yes," has It ?led a Form 990-T for thIs year7If "No? to line 3b, prowcle an explanation In Schedule 0 3b Yes At any time during the calendar year, did the organization have an Interest In, or a Signature or other authorIty over, a finanCIal account In a foreign country (such as a bank account, securities account, or other ?nancial account)? 4a No If "Yes," enter the name of the foreign country See Instructions for ?ling reqUIrements for Form 114, Report of Foreign Bank and FinanCIal Accounts (FBAR) Was the organization a party to a prohibited tax shelter transaction at any time during the tax year? 5a No Did any taxable party notIfy the organization that It was or Is a party to a prohibited tax shelter transaction? 5b No If "Yes," to lIne 5a or 5b, did the organIzation ?le Form 8886-T7 5c Does the organizatIon have annual gross reCEIpts that are normally greater than $100,000, and did the organization 6a No what any contributions that were not tax deducthle as charItable contributions? If "Yes," dId the organIzatIon Include WIth every so ICItatIon an express statement that such contrIbutIons or were not tax deducthle7 . . . . . . . . . . . . . 6b Organizations that may receive deductible contributions under section 170(c). Did the organizatIon receive a payment In excess of $75 made partly as a contribution and partly for goods and serVIces 7a No prowded to the payor? If "Yes," dId the organIzatIon notIfy the donor of the value of the goods or serVIces prowded" 7b Did the organizatlon sell, exchange, or otherWIse dIspose of tangible personal property for which It was reqUIred to ?le Form82827 7c No If "Yes," Indicate the number of Forms 8282 ?led during the year . . . . I 7d I Did the organizatlon receive any funds, directly or Indirectly, to pay premiums on a personal bene?t contract? 7e No Did the organizatIon, during the year, pay premiums, dIrectly or IndIrectly, on a personal benefit contract? 7f No If the organization received a contrIbutIon of qualified Intellectual property, did the organization ?le Form 8899 as reqUIredthe organization received a contrIbutIon of cars, boats, airplanes, or other vehIcles, dId the organizatIon file a Form 1098-C7 7h Sponsoring organizations maintaining donor advised funds. Did a donor adVIsed fund maIntained by the sponsorIng organIzatIon have excess busmess holdIngs at any tIme durIng the year? 8 Did the sponsorIng organIzatIon make any taxable dIstrIbutIons under section 49667 9a Did the sponsorIng organIzatIon make a dIstrIbutIon to a donor, donor adVIsor, or related person? 9b Section 501(c)(7) organizations. Enter InItiatIon fees and capItal contrIbutIons Included on Part line 12 . . . 10a Gross receipts, Included on Form 990, Part line 12, for public use of club 10b Section 501(c)(12) organizations. Enter Gross Income from members or shareholders . . . . . . . . . 11a Gross Income from other sources (Do not net amounts due or paid to other sources against amounts due or received from them . . . . . . . . . . 11b Section 4947(a)(1) non-exempt charitable trusts. Is the organizatIon filing Form 990 In lIeu of Form 10417 12a If "Yes," enter the amount of tax-exempt Interest received or accrued durIng the year 12b Section 501(c)(29) qualified nonprofit health insurance issuers. Is the organization lIcensed to Issue qualified health plans In more than one state?Note. See the InstructIons for addItional InformatIon the organIzatIon must report on Schedule 0 13a Enter the amount of reserves the organization IS reqUIred to maintaIn by the states In which the organIzatIon Is licensed to Issue quaIIfied health plans . . . . 13b Enter the amount of reserves on hand . . . . . . . . . . . . 13c Did the organizatIon receive any payments for Indoor tannIng serVIces durIng the tax year? 14a No If "Yes," has It ?led a Form 720 to report these payments7If ?No,"prov1cle an explanation In Schedule 0 . 14b Form 990 (2016) Form 990 (2016) Governance, Management, and DisclosureFor each "Yes" response to ?nes 2 through 7b below, and for a "No? response to lines Page 6 8a, 8b, or 10b below, descrIbe the Circumstances, processes, or changes In Schedule 0 See Instructions Check If Schedule 0 contaIns a response or note to any Ine In thIs Part VI Section A. Governing Body and Management Yes No 1a Enter the number of votIng members of the governIng body at the end of the tax year 1a 6 If there are materIal differences In votIng rIghts among members of the body, or If the governIng body delegated broad authority to an executIve commIttee or 5ImIIar commIttee, explaIn In Schedule 0 Enter the number of votIng members Included In 1a, above, who are Independent 1b 2 2 any of?cer, dIrector, trustee, or key employee have a famIIy relatIonshIp or a busmess relatIonshIp WIth any other of?cer, dIrector, trustee, or key employee? 2 Yes 3 the organIzatIon delegate control over management dutIes customarlly performed by or under the dIrect superVIsIon 3 No of of?cers, dIrectors or trustees, or key employees to a management company or other person? 4 the organIzatIon make any 5IgnIfIcant changes to Its governIng documents smce the prIor Form 990 was ?led? 4 No 5 the organIzatIon become aware durIng the year of a 5IgnIfIcant dIverSIon of the organIzatIon's assets? No the organIzatIon have members or stockholders? No 7a the organIzatIon have members, stockholders, or other persons who had the power to elect or appOInt one or more members of the bodyAre any governance deCISIons of the organIzatIon reserved to (or subject to approval by) members, stockholders, or 7b No persons other than the body? 8 the organIzatIon contemporaneously document the meetIngs held or ertten actIons undertaken durIng the year by the followmg a The governIng body? 8a Yes Each commIttee WIth authorIty to act on behalf of the governIng body? 8b No 9 Is there any of?cer, dIrector, trustee, or key employee Isted In Part VII, SectIon A, who cannot be reached at the organIzatIon?s address? If ?Yes, provrde the names and addresses In Schedule 0 . 9 No Section B. Policies (Thrs Sectron 3 requests mformatron about polrcres not requIred by the Internal Revenue Code.) Yes No 103 the organIzatIon have local chapters, branches, or 10a No If "Yes," dId the organIzatIon have ertten po ICIes and procedures the actIVItIes of such chapters, and branches to ensure thalr operatIons are conSIstent WIth the organIzatIon's exempt purposes? 10b 11a Has the organIzatIon prOVIded a complete copy of thIs Form 990 to all members of Its body before fIlIng the form? 11a No DescrIbe In Schedule 0 the process, If any, used by the organIzatIon to reVIew thIs Form 990 12a the organIzatIon have a ertten coanIct of Interest pollcy? If go to ?ne 13 12a Yes Were offIcers, dIrectors, or trustees, and key employees reqUIred to dIsclose annually Interests that could gIve rIse to coanIcts? 12b Yes the organIzatIon regularly and conSIstently monItor and enforce compllance WIth the pollcy? If ?Yes," descrIbe In Schedule 0 how was done . . . . . . . . . . . . . 12c Yes 13 the organIzatIon have a ertten pollcy" 13 Yes 14 the organIzatIon have a ertten document retentIon and destructIon pollcy" 14 Yes 15 the process for determInIng compensatlon of the followmg persons Include a reVIew and approval by Independent persons, data, and contemporaneous substantIatIon of the deIIberatIon and deCISIon7 a The organIzatIon's CEO, ExecutIve DIrector, or top management offICIal 15a Yes Other of?cers or key employees of the organIzatIon 15b Yes If "Yes" to Me 15a or 15b, descrIbe the process In Schedule 0 (see InstructIons) 163 the organIzatIon Invest In, contrIbute assets to, or partICIpate In a Jomt venture or 5ImI ar arrangement WIth a taxable entIty durIng the year? 16a No If "Yes," dId the organlzatlon follow a ertten pollcy or procedure reqUIrIng the organlzatlon to evaluate Its partICIpatIon In Jomt venture arrangements under appIIcable federal tax law, and take steps to safeguard the organlzatlon?s exempt status WIth respect to such arrangements? . 16b Section C. Disclosure 17 18 19 20 LIst the States WIth a copy of thIs Form 990 Is reqUIred to be ?led? WI SectIon 6104 reqUIres an organIzatIon to make Its Form 1023 (or 1024 If appIIcable), 990, and 990-T (501(c)(3)s only) avaIIable for publIc InspectIon IndIcate how you made these avaIIable Check all that apply Own webSIte l:l Another's websIte Upon request l:l Other (explaIn In Schedule 0) DescrIbe In Schedule 0 whether (and If so, how) the organIzatIon made Its governIng documents, of Interest pollcy, and fInanCIal statements avallable to the publIc durIng the tax year State the name, address, and telephone number of the person who possesses the organIzatIon's books and records PROBERT HEATON 1320 COURTHOUSE RD STE 500 22201 (703) 875-1658 Form 990 (2016) Form 990 (2016) Page 7 Compensation of Officers, Directors,Trustees, Key Employees, Highest Compensated Employees, and Independent Contractors Check if Schedule 0 contains a response or note to any line In this Part VII . . . . . . . . . l:l Section A. Officers, Directors, Trustees, Key Employees, and Highest Compensated Employees 1a Complete this table for all persons reqUIred to be listed Report compensation for the calendar year ending With or Within the organization?s tax year 0 List all of the organization?s current officers, directors, trustees (whether indIVIduals or organizations), regardless of amount of compensation Enter -0- in columns (D), (E), and (F) if no compensation was paid 0 List all OF the organization?s current key employees, if any See instructions for definition of "key employee 0 List the organization's five current highest compensated employees (other than an officer, director, trustee or key employee) who received reportable compensation (Box 5 of Form W-2 and/or Box 7 of Form 1099-MISC) of more than $100,000 from the organization and any related organizations 0 List all OF the organization?s former officers, key employees, or highest compensated employees who received more than $100,000 of reportable compensation from the organization and any related organizations 0 List all of the organization?s former directors or trustees that received, in the capaCIty as a former director or trustee of the organization, more than $10,000 of reportable compensation from the organization and any related organizations List persons in the Followmg order indiVidual trustees or directors, institutional trustees, officers, key employees, highest compensated employees, and former such persons l:l Check this box if neither the organization nor any related organization compensated any current officer, director, or trustee (A) (B) (C) (D) (E) (F) Name and Title Average POSItion (do not check more Reportable Reportable Estimated hours per than one box, unless person compensation compensation amount of other week (list is both an officer and a from the from related compensation any hours director/trustee) organization organizations from the for related ,t I (W- 2/1099- (W- 2/1099- organization and :i organizations :1 3 3.5, MISC) MISC) related below dotted 1?5 ,b ?17 3 organizations line) EE- 5. "Tail?k 75' 5-(1) BRIAN HOOKS 39 0 742,383 0 39,949 PRESIDENT 11 0 (2) CHARLES CHASE KOCH 1 0 0 0 DIRECTOR 0 0 (3) CHARLES KOCH 1 0 0 0 0 CHAIRMAN 1 0 (4) ELIZABETH KOCH 1 0 0 0 DIRECTOR 1 0 (5) RICHARD FINK 1 0 0 0 VICE CHAIRMAN 2 0 (6) DALE GIBBENS 1 0 0 0 0 EXECUTIVE VICE PRESIDENT 1 (7) ARIANNE MASSEY 20 0 0 0 VICE PRESIDENT, TALENT DEV 0 (8) BRIAN MENKES 1 0 0 0 SECRETARY 2 (9) ROBERT HEATON 1 0 0 0 TREASURER (INCOMING) 2 (10) WILLIAM RUGER 49 0 314,139 0 31,568 VICE 1 (11) KATEY ROBERTS 50 0 250,018 0 15,500 VICE PRESIDENT- CHIEF OF STAFF 0 (12) ALISON WINTERS 50 0 217,226 0 27,333 MANAGING DIR 0 (13) DEREK JOHNSON 50 0 195,905 0 18,957 DIRECTOR-EDUC DEVELOPMENT 0 0 (14) VIKRANT REDDY 50 0 197,500 0 10,583 SENIOR RESEARCH FELLOW 0 0 (15) TONYA MULLINS 50 0 171,720 0 24,471 DIRECTOR-COMMUNICATIONS MKTG 0 0 Form 990 (2016) Form 990 (2016) Page 8 Section A. Officers, Directors, Trustees, Key Employees, and Highest Compensated Employees (continued) (A) (B) (C) (D) (E) (F) Name and Title Average P05ition (do not check more Reportable Reportable Estimated hours per than one box, unless person compensation compensation amount of other week (list is both an officer and a from the from related compensation any hours director/trustee) organization (W- organizations (W- from the for related - A pt. I organization and i_J 3 I :11 organizations it: 3 3 ,0 related below dotted 23 rt 1; 3 organizations line1bSub-Total . . . . . . . . . . Total from continuation sheets to Part VII, Section A . . . . dTotal (add lines 1b and 1c) . 2,088,891 0 168,361 2 Total number of indiViduals (including but not limited to those listed above) who received more than $100,000 of reportable compensation from the organization 32 Yes No 3 Did the organization list any former officer, director or trustee, key employee, or highest compensated employee on line 1a? If ?Yes, complete Schedule .7 for such indiwduai? . No 4 For any indiVidual listed on line 1a, is the sum of reportable compensation and other compensation from the organization and related organizations greater than $150,000? If ?Yes, complete Schedule for such incliwcluai' Yes 5 Did any person listed on line 1a receive or accrue compensation from any unrelated organization or indiVidual for serVIces rendered to the organizationUf ?Yes, complete Schedule for such person No Section B. Independent Contractors 1 Complete this table for your five highest compensated independent contractors that received more than $100,000 of compensation from the organization Report compensation for the calendar year ending With or Within the organization?s tax year A) (B) (C) Name and business address Description of serVIces Compensation 1888 MANAGEMENT LLC, INVESTMENT MGMT 423,852 PO BOX 5004 WICHITA, KS 67201 FAIRMONT WASHINGTON DC GEORGETOWN, EVENT SPACE 126,375 2401 STREET NW WASHINGTON, DC 20037 HIRESTRATEGY, RECRUITING AGENCY 125,839 1121 14TH STREET NW SUITE 600 WASHINGTON, DC 20005 HIGHLINE STRATEGIES, 119,139 16018 FM 51 67240 RECRUITING AGENCY 115,000 LOCHLIN PARTNERS LTD, 8484 WESTPARK DRIVE SUITE 630 22102 2 Total number of independent contractors (including but not limited to those listed above) who received more than $100,000 of compensation from the organization 6 Form 990 (2016) Form 990 (2016) Statement of Revenue Check if Schedule 0 contains a response or note to any line In this Part Page 9 El (A) (B) (C) (D) Total revenue Related or Unrelated Revenue exempt bu5iness excluded from Function revenue tax under sections revenue 512-514 la Federated campaigns I la I g; Membership dues I 1b I Fundraismg events . I 1c I Related organizations I 1d I (D Government grants (contributions) I la I m? ?5 All other contributions, gifts, grants, .2 and Similar amounts not included 1f 15,106,000 v: above r: Noncash contributions included in lines 1a-1f 2 3 a Tota .Add lines 1a-15,106,000 3, Busmess Code All other program serVIce revenue 0 0 ?5 9T0tal.Add lines 2a?2f . . . . 3 Investment income (including diVidends, interest, and other amounts) 1,829,348 1,641,662 187,686 4 Income from investment of tax-exempt bond proceeds 0 5 Royalties 0 Real (ii) Personal 6a Gross rents Less rental expenses Rental income or 0 0 (loss) Net rental income or (loss) 0 Securities (ii) Other Gross amount from sales of assets other than inventory Less cost or other ba5is and sales expenses Gain or (loss) Net gain or (loss) . 0 8a Gross income from fundraismg events a) (not including of 3 contributions reported on line 1c) See Part IV, line Less direct expenses . . . 0 a Net income or (loss) from fundraismg events 0 5 9a Gross income from gaming actIVIties 0 See Part IV, line 19 a 0 Less direct expenses . . . 0 Net income or (loss) from gaming actIVIties 0 10aGross sales of inventory, less returns and allowances a 0 Less cost of goods sold . . 0 Net income or (loss) from sales of inventory 0 Miscellaneous Revenue Busmess Code SERVICES 615000 25322 25,322 MISC 900099 37,550 37,550 All other revenue 37,550 37,550 eTotal. Add lines 11a?11d 62,872 12 Total revenue. See Instructions 16,998,220 1,641,662 250,558 Form 990 (2016) Form 990 (2016) Page 10 Statement of Functional Expenses Section 501(c)(3) and 501(c)(4) organizations must complete all columns All other organizations must complete column (A) Check if Schedule 0 contains a response or note to an line in this Part IX El Do not include amounts reported on lines 6b, (A) Progra?glemce Manag?rsilant and (Part Total expenses expenses general expenses Fundraismgexpenses 1 Grants and other a55istance to domestic organizations and 792,651 792,651 domestic governments See Part IV, line 21 2 Grants and other a55istance to domestic indiViduals See Part 419,962 419,962 IV, line 22 3 Grants and other a55istance to foreign organizations, foreign 0 governments, and foreign indIVIduals See Part IV, line 15 and 16 4 Benefits paid to or for members 0 5 Compensation of current officers, directors, trustees, and 1,128,039 879,870 248,169 key employees 6 Compensation not included above, to disqualified persons (as 0 defined under section 4958(f)(1)) and persons described in section 4958(c)(3)(B) . . 7 Other salaries and wages 11,644,212 9,082,485 2,561,727 Pen5ion plan accruals and contributions (include section 401 453,581 353,793 99,788 and 403(b) employer contributions) 9 Other employee benefits 1,119,407 873,137 246,270 10 Payroll taxes 817,639 637,758 179,881 11 Fees for serVIces (non-employees) a Management 0 Legal 46,646 36,384 10,262 Accounting 29,674 23,146 6,528 (I Lobbying 0 Professwnal fundraismg serVIces See Part IV, line 17 0 Investment management fees 340,334 340,334 9 Other (If line amount exceeds 10% of line 25, column 1,598,936 1,247,170 351,766 0 (A) amount, list line 11g expenses on Schedule O) 12 Advertismg and promotion 241,785 188,592 53,193 13 Of?ce expenses 273,743 213,520 60,223 14 Information technology 632,180 493,100 139,080 15 Royalties 0 16 Occupancy 2,336,777 1,822,686 514,091 17 Travel 1,724,691 1,345,259 379,432 18 Payments of travel or entertainment expenses for any 0 federal, state, or local public offICIals 19 Conferences, conventions, and meetings 841,857 656,648 185,209 20 Interest 0 21 Payments to affiliates 0 22 DepreCIation, depletion, and amortization 0 23 Insurance 64,293 50,149 14,144 24 Other expenses Itemize expenses not covered above (List miscellaneous expenses in line 24a If line 24e amount exceeds 10% of line 25, column (A) amount, list line 24e expenses on Schedule 0 a UBI TAXES 917,742 917,742 295,409 230,419 64,990 AWARDS INCENTIVES 77,505 60,454 17,051 0 All other expenses 55,543 43,324 12,219 25 Total functional expenses. Add lines 1 through 24e 25,852,606 19,450,507 6,402,099 0 26 Joint costs. Complete this line only if the organization reported in column (B) costs from a combined educational campaign and fundraising SOIICItation Check here l:l if followmg SOP 98-2 (ASC 958-720) Form 990 (2016) Form 990 (2016) Balance Sheet Page 11 Check If Schedule 0 contaIns a response or note to any lIne In thIs Part IX El (A) (B) BegInnIng of year End of year 1 Cash?non-Interest-bearlng 283:475 1 1551507 2 Savmgs and temporary cash Investments 38,837,791 2 46,570,185 3 Pledges and grants recerable, net 0 3 0 4 Accounts recerable, net 62,818 4 71,689 5 Loans and other recerables from current and former of?cers, directors, trustees, key employees, and hIghest compensated employees Complete Part 0 5 0 II of Schedule 6 Loans and other recerables from other persons (as de?ned under sectIon 4958(f)(1)), persons descrIbed In sectIon 4958(c)(3)(B), and contrIbutIng employers and sponsorIng organIzatIons of sectIon 501(c)(9) 0 6 0 voluntary employees' benefICIary organIzatIons (see InstructIons) Complete an Part II of Schedule 7 Notes and loans recerable, net 0 7 0 a InventorIes for sale or use 0 0 PrepaId expenses and deferred charges 113,815 9 3,211,273 10a Land, bUIldIngs, and eqUIpment cost or other has Complete Part VI of Schedule 103 67-500 Less accumulated depreCIatIon 10b 67.500 10c 11 traded securItIes 0 11 0 12 Investments?other securItIes See Part IV, lIne 11 232,386,260 12 254,576,764 13 Investments?program-related See Part IV, lIne 11 0 13 0 14 IntangIble assets 0 14 0 15 Other assets See Part IV, lIne 11 0 15 0 16 Total assets.Add lInes 1 through 15 (must equal lIne 34) 271,684,160 16 304,586,518 17 Accounts payable and accrued expenses 2,101,502 17 6,213,908 18 Grants payable 0 18 0 19 Deferred revenue 0 19 0 20 Tax-exempt bond IabI ItIes 0 20 0 v. 21 Escrow or custodIal account IabI Ity Complete Part IV of Schedule 0 21 0 '9 22 Loans and other payables to current and former offIcers, dIrectors, trustees, key employees, hIghest compensated employees, and 1" cc persons Complete Part II of Schedule 0 22 0 ?1 23 Secured mortgages and notes payable to unrelated thIrd partIes 0 23 0 24 Unsecured notes and loans payable to unrelated thIrd partIes 0 24 0 25 Other IabI ItIes (IncludIng federal Income tax, payables to related thIrd partIes, 0 25 0 and other IabI ItIes not Included on lInes 17-24) Complete Part of Schedule 26 Total Iiabilities.Add lInes 17 through 25 2,101,502 26 6,213,908 3 Organizations that follow SFAS 117 (ASC 958), check here and 2 complete lines 27 through 29, and lines 33 and 34. 27 UnrestrIcted net assets 269,582,658 27 298,372,610 8 28 Temporarlly net assets 0 28 0 29 Permanently net assets 0 29 0 ,2 Organizations that do not follow SFAS 117 (ASC 958), 5 check here l:l and complete lines 30 through 34. 30 CapItal stock or trust prInCIpal, or current funds . 30 ES 31 PaId-In or capItal surplus, or land, or eqUIpment fund 31 32 RetaIned earnIngs, endowment, accumulated Income, or other funds 32 33 Total net assets or fund balances 269,582,658 33 298,372,610 2 34 Total IabI ItIes and net assets/fund balances 271,684,160 34 304,586,518 Form 990 (2016) Form 990 (2016) Reconcilliation of Net Assets Page 12 Check If Schedule 0 contaIns a response or note to any lIne In thIs Part XI El omummthI-n 10 Total revenue (must equal Part column (A), lIne l2) 1 16,998,220 Total expenses (must equal Part IX, column (A), lIne 25) 2 25,852,606 Revenue less expenses Subtract Me 2 from lIne 1 3 -8,854,386 Net assets or fund balances at begInnIng of year (must equal Part X, lIne 33, column 4 269,582,658 Net unrealized gaIns (losses) on Investments 5 28,252,072 Donated serVIces and use of faCIlItIes 6 Investment expenses 7 PrIor perIod adjustments 8 9,392,266 Other changes In net assets or fund balances (explaIn In Schedule 0) 9 Net assets or fund balances at end of year CombIne lInes 3 through 9 (must equal Part X, lIne 33, column 10 298,372,610 Financial Statements and Reporting Check If Schedule 0 contaIns a response or note to any lIne In thIs Part XII El 2a 3a AccountIng method used to prepare the Form 990 l:l Cash Accrual l:l Other If the organIzatIon changed Its method of accountmg from a prIor year or checked "Other," explaIn In Schedule 0 Were the organIzatIon?s fInanCIal statements comleed or reVIewed by an Independent accountant? If ?Yes,? check a box below to IndIcate whether the fInanCIal statements for the year were complied or reVIewed on a separate ba5Is, consolIdated ba5Is, or both l:l Separate ba5Is l:l ConsolIdated ba5Is l:l Both consolldated and separate ba5Is Were the organIzatIon?s fInanCIal statements audIted by an Independent accountant? If ?Yes,? check a box below to IndIcate whether the fInanCIal statements for the year were audIted on a separate ba5Is, consolldated ba5Is, or both l:l Separate ba5Is ConsolIdated ba5Is l:l Both consolldated and separate ba5Is If "Yes," to lIne 2a or 2b, does the organIzatIon have a commIttee that assumes for overSIght of the audIt, reVIew, or compIIatIon of Its fInanCIal statements and selectIon of an Independent accountant? If the organIzatIon changed eIther Its overSIght process or selectIon process durIng the tax year, explaIn In Schedule 0 As a result of a federal award, was the organIzatIon reqUIred to undergo an audIt or audIts as set forth In the SIngle AudIt Act and OMB CIrcular If "Yes," dId the organIzatIon undergo the reqUIred audIt or audIts? If the organIzatIon dId not undergo the reqUIred audIt or audIts, explaIn why In Schedule 0 and descrIbe any steps taken to undergo such audIts Yes Form 990 (2016) Additional Data Software ID: Software Version: EIN: 27-4967732 Name: CHARLES KOCH INSTITUTE Form 990 (2016) Form 990, Part Line 4a: EDUCATE STUDENTS IN A CLASSROOM SETTING ABOUT HOW FREE SOCIETIES ENABLE WELL-BEING Iefile GRAPHIC print - DO NOT PROCESS As Filed Data - DLN: 93493319108027I OMB No 1545-0047 SCHEDULE A Public Charity Status and Public Support (Form 990 01' Complete if the organization is a section 501(c)(3) organization or a section 2 0 1 6 990EZ) 4947(a)(1) nonexempt charitable trust. Attach to Form 990 or Form 990-EZ. Department ot?tlie Tremun Information about Schedule A (Form 990 or 990-EZ) and its instructions is at Open to Pp\ inn":- Kpr? In?: InSPECtlon Name of the organization CHARLES KOCH INSTITUTE Employer identification number 27-4967732 Reason for Public Charity Status (All organizations must complete this part.) See instructions. The organization is not a private foundation because it is (For lines 1 through 12, check only one box 1 A church, convention of churches, or assooation of churches described in section A school described in section (Attach Schedule (Form 990 or 2 3 A hospital or a cooperative hospital serVIce organization described in section 4 A medical research organization operated in conjunction With a hospital described in section Enter the hospital's name, City, and state An organization operated for the benefit of a college or univerSIty owned or operated by a governmental unit described in section 170 (Complete Part II) A federal, state, or local government or governmental unit described in section An organization that normally receives a substantial part of its support from a governmental unit or from the general public described in section (Complete Part II A community trust described in section 170(b)(1)(A)(vi) (Complete Part II An agricultural research organization described in 170(b)(1)(A)(ix) operated in conjunction With a land-grant college or univerSIty or a non-land grant college of agriculture See instructions Enter the name, City, and state of the college or univerSIty 10 An organization that normally receives (1) more than 331/3% of its support from contributions, membership fees, and gross receipts from actIVIties related to its exempt functions?subject to certain exceptions, and (2) no more than 331/3% of its support from gross investment income and unrelated busmess taxable income (less section 511 tax) from busmesses achIred by the organization after June 30, 1975 See section 509(a)(2). (Complete Part 11 An organization organized and operated excluswely to test for public safety See section 509(a)(4). 12 An organization organized and operated excluswely for the benefit of, to perform the functions of, or to carry out the purposes of one or more publicly supported organizations described in section 509(a)(1) or section 509(a)(2). See section 509(a)(3). Check the box in lines 12a through 12d that describes the type of supporting organization and complete lines 12e, 12f, and 129 Type I. A supporting organization operated, superVIsed, or controlled by its supported organization(s), typically by giVing the supported organization(s) the power to regularly appomt or elect a majority of the directors or trustees of the supporting organization You must complete Part IV, Sections A and B. Type II. A supporting organization superVIsed or controlled in connection With its supported organization(s), by havmg control or management of the supporting organization vested in the same persons that control or manage the supported organization(s) You must complete Part IV, Sections A and C. Type functionally integrated. A supporting organization operated in connection With, and functionally integrated With, its supported organization(s) (see instructions) You must complete Part IV, Sections A, D, and E. Type non-functionally integrated. A supporting organization operated in connection With its supported organization(s) that is not functionally integrated The organization generally must satisfy a distribution reqUIrement and an attentiveness reqUIrement (see instructions) You must complete Part IV, Sections A and D, and Part V. Check this box if the organization received a written determination from the IRS that it is a Type I, Type II, Type functionally integrated, or Type non-functionally integrated supporting organization Enter the number of supported organizations 9 Prowde the followmg information about the supported organization(s) (i)Name of supported organization Type of (iv) (vi) organization Is the organization listed in Amount of Amount of other (described on lines your governing document? monetary support support (see 1- 10 above (see (see instructions) instructions) instructions)) Yes No Total For Paperwork Reduction Act Notice, see the Instructions for Cat No 11285F Schedule A (Form 990 or 990-EZ) 2016 Form 990 or 990-EZ. Schedule A (Form 990 or 990-EZ) 2016 Page 2 In. Support Schedule for Organizations Described in Sections 170(b)(1)(A)(iv) and 170(b)(1)(A)(vi) (Complete only if you checked the box on line 5, 7, 8, or 9 of Part I or if the organization failed to qualify under Part If the organization fails to qualify under the tests listed below, please complete Part Section A. Public Support (or in) (a)2012 (b)2013 (c)2014 (d)2015 (e)2016 (f)Tota 1 Gifts, grants, contributions, and membership fees received (Do not include any "unusual grant 2 Tax revenues leVIed for the organization's benefit and either paid to or expended on its behalf 3 The value of serVIces or faCIlities Furnished by a governmental unit to the organization Without charge 4 Total. Add lines 1 through 3 5 The portion of total contributions by each person (other than a governmental unit or publicly supported organization) included on line 1 that exceeds 2% of the amount shown on line 11, column 6 Public support. Subtract line 5 from line 4 Section B. Total Support (or in) (a)2012 (b)2013 (c)2014 (d)2015 (e)2016 (f)Tota 7 Amounts from line 4 8 Gross income from interest, diVidends, payments received on securities loans, rents, royalties and income from Similar sources 9 Net income from unrelated bu5iness actIVIties, whether or not the busmess is regularly carried on 10 Other income Do not include gain or loss from the sale of capital assets (Explain in Part VI) 11 Total support. Add lines 7 through 12 receipts from related actIVIties, etc (see instructions) I 12 I 13 First five years. If the Form 990 is for the organization's first, second, third, fourth, or fifth tax year as a section 501(c)(3) organization, Section C. Computation of Public Support Percentage 14 Public support percentage for 2016 (line 6, column diVided by line 11, column 14 15 Public support percentage for 2015 Schedule A, Part II, line 14 15 153 33 1/3?/o support test?2016. If the organization did not check the box on line 13, and line 14 is 33 1/3?/o or more, check this box and stop here. The organization qualifies as a publicly supported organization I 33 1/30/0 support test?2015. If the organization did not check a box on line 13 or 16a, and line 15 is 33 1/3% or more, check this box and stop here. The organization qualifies as a publicly supported organization 17a 10?lo-facts-and-circumstances test?2016. If the organization did not check a box on line 13, 16a, or 16b, and line 14 is 10% or more, and if the organization meets the "facts-and-CIrcumstances" test, check this box and stop here. Explain in Part VI how the organization meets the "facts-and-CIrcumstances" test The organization qualifies as a publicly supported organization El test?2015. If the organization did not check a box on line 13, 16a, 16b, or 17a, and line 15 IS 10% or more, and if the organization meets the "facts-and-CIrcumstanceS" test, check this box and stop here. Explain in Part VI how the organization meets the "facts-and-CIrcumstances" test The organization qualifies as a publicly supported organization 13 Private foundation. If the organization did not check a box on line 13, 16a, 16b, 17a, or 17b, check this box and see instructions El Schedule A (Form 990 or 990-EZ) 2016 Schedule A (Form 990 or 990-EZ) 2016 Support Schedule for Organizations Described in Section 509(a)(2) (Complete only if you checked the box on line 10 of Part I or if the organization failed to qualify under Part II. If Page 3 the organization fails to qualify under the tests listed below, please complete Part II.) Section A. Public Support 7a 8 Calendar year (or fiscal year beginning in) Gifts, grants, contributions, and membership fees received (Do not Include any "unusual grants Gross receipts from admi55ioris, merchandise sold or serVIces performed, or faCIlities furnished in any actIVIty that is related to the organization's tax-exempt purpose Gross receipts from actIVIties that are not an unrelated trade or busmess under section 513 Tax revenues lewed for the organization's benefit and Either paid to or expended on Its behalf The value of serVIces or faCIlities furnished by a governmental unit to the organization Without charge Total. Add lines 1 through 5 Amounts included on lines 1, 2, and 3 received from disqualified persons Amounts included on lines 2 and 3 recewed from other than disqualified persons that exceed the greater of $5,000 or 1% of the amount on line 13 for the year Add lines 7a and 7b Public support. (Subtract line 7c from line 6 (a)2012 (b)2013 (c)2014 (d)2015 (e)2016 (f)Tota Section B. Total Support 9 10a 12 13 14 Calendar year (or fiscal year beginning in) Amounts from line 6 Gross income from interest, diVidends, payments received on securities loans, rents, royalties and income from Similar sources Unrelated busmess taxable income (less section 511 taxes) from businesses acquired after June 30, 1975 Add lines 10a and 10b Net income from unrelated busmess actIVIties not included in line 10b, whether or not the business is regularly carried on Other income Do not include gain or loss from the sale of capital assets (Explain in Part VI Total support. (Add lines 9, 10c, 11, and 12 (a)2012 (b)2013 (c)2014 (d)2015 (e)2016 (f)Tota First five years. If the Form 990 IS for the organization's first, second, third, fourth, or fifth tax year as a section 501(c)(3) organization, check this box and stop here Section C. Computation of Public Support Percentage 15 Public support percentage for 2016 (line 8, column diVided by line 13, column 15 15 Public support percentage from 2015 Schedule A, Part line 15 15 Section D. Computation of Investment Income Percentage 17 Investment income percentage for 2016 (line 10c, column lelded by line 13, column 17 13 Investment income percentage from 2015 Schedule A, Part line 17 13 19a 331/3?/o support tests?2016. If the organization did not check the box on line 14, and line 15 IS more than 33 and line 17 IS not more than 33 check this box and stop here. The organization qualifies as a publicly supported organization r-E] 33 1/3% support tests?2015. If the organization did not check a box on line 14 or line 19a, and line 16 is more than 33 1/3% and line 18 is 20 not more than 33 check this box and stop here. The organization qualifies as a publicly supported organization Private foundation. If the organization did not check a box on line 14, 19a, or 19b, check this box and see instructions Schedule A (Form 990 or 990-EZ) 2016 Schedule A (Form 990 or 990-EZ) 2016 Supporting Organizations (Complete only if you checked a box on line 12 of Part I If you checked 12a of Part I, complete Sections A and If you checked 12b of Part I, complete Sections A and If you checked 12c of Part I, complete Sections A, D, and If you checked 12d of Part I, complete Page 4 Sections A and D, and complete Part V) Section A. All Supporting Organizations the organization's supported organizations listed by name in the organization's governing documents? If ?No, describe in Part VI how the supported organizations are deSIgnated If deSIgnated by class or purpose, describe the desrgnation If historic and continUing relationship, explain Did the organization have any supported organization that does not have an IRS determination of status under section 509 1) or If "Yes, explain in Part VI how the organization determined that the supported organization was described in section 509(a)(1) or (2) Did the organization have a supported organization described in section 501(c)(4), (5), or If ?Yes," answer and below 3a Did the organization confirm that each supported organization qualified under section 501(c)(4), (5), or (6) and satisfied the public support tests under section 509(a)(2)7 If ?Yes, describe in Part VI when and how the organization made the determination 3b Did the organization ensure that all support to such organizations was used excluswely for section 170(c)(2)(B) purposes? If ?Yes, explain in Part VI what controls the organization put in place to ensure such use 3c Was any supported organization not organized in the United States ("foreign supported organization")? If "Yes? and if you checked 12a or 12b in Part I, answer and below Did the organization have ultimate control and discretion in deCIding whether to make grants to the foreign supported organization? If "Yes,? describe in Part VI how the organization had such control and discretion despite being controlled or superwsed by or in connection With its supported organizations 4b Did the organization support any foreign supported organization that does not have an IRS determination under sections 501(c)(3) and 509(a)(1) or (2)7 If "Yes,? explain in Part VI what controls the organization used to ensure that all support to the foreign supported organization was used excluswely for section 1 purposes 4c Did the organization add, substitute, or remove any supported organizations during the tax year? If "Yes, answer and below (if applicable) Also, prowde detail in Part VI, including the names and EIN numbers of the supported organizations added, substituted, or removed, (ii) the reasons for each such action, the authority under the organization '5 organiZing document authorizmg such action, and (iv) how the action was accomplished (such as by 5a amendment to the organizmg document) Type I or Type 11 only. Was any added or substituted supported organization part of a class already deSIgnated in the organization?s organizmg document? 5b Substitutions only. Was the substitution the result of an event beyond the organization's control? 5c Did the organization prowde support (whether in the form of grants or the prowsion of serVIces or faCIlities) to anyone other than its supported organizations, (ii) that are part of the charitable class benefited by one or more of its supported organizations, or other supporting organizations that also support or benefit one or more of the filing organization?s supported organizations? If "Yes,?prowde detail in Part VI. Did the organization prowde a grant, loan, compensation, or other Similar payment to a substantial contributor (defined in section a family member of a substantial contributor, or a 35% controlled entity With regard to a substantial contributor? If ?Yes,? complete Part I of Schedule (Form 990 or 990-EZ) Did the organization make a loan to a disqualified person (as defined in section 4958) not described in line 77 If "Yes,? complete Part I of Schedule (Form 990 or 990-EZ) Was the organization controlled directly or indirectly at any time during the tax year by one or more disqualified persons as defined in section 4946 (other than foundation managers and organizations described in section 509(a)(1) or If ?Yes,? prowde detail in Part VI. 9a Did one or more disqualified persons (as defined in line 9a) hold a controlling interest in any entity in which the supporting organization had an interest? If "Yes,?prowde detail in Part VI. 9b Did a disqualified person (as defined in line 9a) have an ownership interest in, or derive any personal benefit from, assets in which the supporting organization also had an interest? If ?Yes, ?prowde detail in Part VI. 9c Was the organization subject to the excess bu5iness holdings rules of section 4943 because of section 4943(f) (regarding certain Type II supporting organizations, and all Type non-functionally integrated supporting organizations)? If "Yes,? answer line 10b below 10a Did the organization have any excess busmess holdings in the tax year? (Use Schedule C, Form 4720, to determine whether the organization had excess busmess holdings) 10b Schedule A (Form 990 or 990-EZ) 2016 Schedule A (Form 990 or 990-EZ) 2016 Supporting Organizations (continued) Page 5 11 a Has the organization accepted a gift or contribution from any of the followmg persons? A person who directly or indirectly controls, either alone or together With persons described In and below, the governing body of a supported organization? A family member of a person described In above? A 35% controlled entity of a person described In or above? If "Yes? to a, b, or c, prowde detail In Part VI Yes 11a 11b 11c Section B. Type I Supporting Organizations Did the directors, trustees, or membership of one or more supported organizations have the power to regularly appomt or elect at least a majority of the organization's directors or trustees at all times during the tax year? If "No, describe in Part VI how the supported organization(s) effectively operated, superwsed, or controlled the organization ?5 actiVities If the organization had more than one supported organization, describe how the powers to appomt and/or remove directors or trustees were allocated among the supported organizations and what conditions or restrictions, if any, applied to such powers during the tax year Did the organization operate for the benefit of any supported organization other than the supported organization(s) that operated, superVIsed, or controlled the supporting organization? If ?Yes, explain In Part VI how prowding such benefit carried out the purposes of the supported organization(s) that operated, superwsed or controlled the supporting organization Yes Section C. Type II Supporting Organizations 1 Were a majority of the organization's directors or trustees during the tax year also a majority of the directors or trustees of each of the organization?s supported organization(s)? If "No, describe in Part VI how control or management of the supporting organization was vested In the same persons that controlled or managed the supported organization(s) Yes Section D. All Type Supporting Organizations Did the organization prOVIde to each of its supported organizations, by the last day of the fifth month of the organization?s tax year, (I) a written notice describing the type and amount of support prowded during the prior tax year, (II) a copy of the Form 990 that was most recently filed as of the date of notification, and copies of the organization?s governing documents in effect on the date of notification, to the extent not preVIously prowded? Were any of the organization?s officers, directors, or trustees either appomted or elected by the supported organization (5) or (ii) serVIng on the governing body of a supported organization? If explain in Part VI how the organization maintained a close and continuous working relationship With the supported organization(s) By reason of the relationship described in (2), did the organization's supported organizations have a Significant v0ice In the organization?s Investment po ICIes and In directing the use of the organization?s Income or assets at all times during the tax year? If ?Yes, describe In Part VI the role the organization?s supported organizations played in this regard Yes 1 Section E. Type Functionally-Integrated Supporting Organizations Check the box next to the method that the organization used to satisfy the Integral Part Test during the year (see instructions) a: 0' The organization satisfied the ActIVIties Test Complete line 2 below CI The organization is the parent of each of its supported organizations Complete line 3 below The organization supported a governmental entity Describe in Part VI how you supported a government entity (see Instructions) ActIVIties Test Answer and below. Yes Did substantially all of the organization?s actIVItIes during the tax year directly further the exempt purposes of the supported organization(s) to which the organization was responSIve7 If ?Yes," then in Part VI identify those supported organizations and explain how these actIVIties directly furthered their exempt purposes, how the organization was respon5ive to those supported organizations, and how the organization determined that these actiVities constituted substantially all of its actIVities Did the actIVItIes described In constitute actIVIties that, but for the organization's involvement, one or more of the organization?s supported organization(s) would have been engaged in? If ?Yes," explain in Part VI the reasons for the organization ?s pOSition that its supported organization(s) would have engaged in these actiwties but for the organization ?s involvement Parent of Supported Organizations Answer and below. Did the organization have the power to regularly appomt or elect a majority of the officers, directors, or trustees of each of the supported organizations? Prowde details in Part VI. Did the organization exerCIse a substantial degree of direction over the programs and actIVItIes of each of its supported organizations? If ?Yes, describe in Part VI. the role played by the organization in this regard 2a 2b 3a 3b Schedule A (Form 990 or 990-EZ) 2016 Schedule A (Form 990 or 990-EZ) 2016 Type Non-Functionally Integrated 509(a)(3) Supporting Organizations Page 6 1 Check here if the organization satisfied the Integral Part Test as a qualifying trust on Nov 20, 1970 See instructions. All other Type non-functionally Integrated supporting organizations must complete Sections A through mthNI-l \l Section A - Adjusted Net Income Net short-term capital gain Recoveries of prior-year distributions Other gross income (see instructions) Add lines 1 through 3 DepreCIation and depletion Portion of operating expenses paid or incurred for production or collection of gross income or for management, conservation, or maintenance of property held for production of income (see instructions) Other expenses (see instructions) Adjusted Net Income (subtract lines 5, 6 and 7 from line 4) (A) Prior Year (B) Current Year (optional) \l Section - Minimum Asset Amount Aggregate fair market value of all non-exempt-use assets (see instructions for short tax year or assets held for part of year) Average value of securities Average cash balances Fair market value of other non-exempt-use assets Total (add lines la, lb, and 1c) Discount claimed for blockage or other factors (explain in detail in Part VI) AchISItion indebtedness applicable to non-exempt use assets Subtract line 2 from line 1d Cash deemed held for exempt use Enter 1-1/2% of line 3 (for greater amount, see instructions) Net value of non-exempt-use assets (subtract line 4 from line 3) Multiply line 5 by 035 Recoveries of prior-year distributions Minimum Asset Amount (add line 7 to line 6) (A) Prior Year (B) Current Year (optional) 1a 1b 1c 1d acumen-h mW-hWNl-l \l Section - Distributable Amount Adjusted net income for prior year (from Section A, line 8, Column A) Enter 85% of line 1 Minimum asset amount for prior year (from Section B, line 8, Column A) Enter greater of line 2 or line 3 Income tax imposed in prior year Distributable Amount. Subtract line 5 from line 4, unless subject to emergency temporary reduction (see instructions) Current Year Check here if the current year is the organization?s first as a non-functionally-integrated Type supporting organization (see instructions) Schedule A (Form 990 or 990-EZ) 2016 Schedule A (Form 990 or 990-EZ) 2016 Page 7 Type Non-Functionally Integrated 509(a)(3) Supporting Organizations (continued) Section - Distributions Current Year 1 Amounts paid to supported organizations to accomplish exempt purposes 9 10 Amounts paid to perform actIVIty that directly furthers exempt purposes of supported organizations, in excess of income from actIVIty Administrative expenses paid to accomplish exempt purposes of supported organizations Amounts paid to achIre exempt-use assets Qualified set-a5ide amounts (prior IRS approval reqUIred) Other distributions (describe in Part VI) See instructions Total annual distributions. Add lines 1 through 6 Distributions to attentive supported organizations to which the organization is respon5ive (prowde details in Part VI) See instructions Distributable amount for 2016 from Section C, line 6 Line 8 amount diVided by Line 9 amount Section - Distribution Allocations (see DistribiBtable InStTUCtlons) Excess Pre-2016 Amount for 2016 1 Distributable amount for 2016 from Section C, line 6 2 Underdistributions, if any, for years prior to 2016 (reasonable cause reqUIred--see instructions) 3 Excess distributions carryover, if any, to 2016 From 2013. a From 2014. From 2015. Total of lines 3a through 9 Applied to underdistributions of prior years Applied to 2016 distributable amount Carryover from 2011 not applied (see instructions) Remainder Subtract lines 39, 3h, and 3i from 3f 4 Distributions for 2016 from Section D, line 7 a Applied to underdistributions of prior years Applied to 2016 distributable amount Remainder Subtract lines 4a and 4b from 4 5 Remaining underdistributions for years prior to 2016, if any Subtract lines 39 and 4a from line 2 (if amount greater than zero, see instructions) Remaining underdistributions for 2016 Subtract lines 3h and 4b from line 1 (if amount greater than zero, see instructions) Excess distributions carryover to 2017. Add lines 3] and 4c Breakdown of line 7 Excess from 2013. 0 Excess from 2014. D. Excess from 2015. Excess from 2016. Schedule A (Form 990 or 990-EZ) (2016) Schedule A (Form 990 or 990-EZ) 2016 Supplemental Information. Prowde the explanations reqUIred by Part II, line 10; Part II, line 17a or 17b; Part line 12; Part IV, Section A, lines 9a, 9b, 9c, 11a, 11b, and 11c; Part IV, Section B, lines 1 and 2; Part IV, Section C, line 1; Part IV, Section D, lines 2 and 3; Part IV, Section E, lines 2a, 2b, 3a and 3b; Part V, line 1; Part V, Section B, line 1e; Part Section D, lines 5, 6, and 8; and Part V, Section E, lines 2, 5, and 6. Also complete this part for any additional information. (See instructions). Page 8 Facts And Circumstances Test Crl-nnrluln A [Emu?m non nl? 101R Iefile GRAPHIC print - DO NOT PROCESS As Filed Data - DLN: 93493319108027I SCHEDULE (3 Political Campaign and Lobbying Activities glorm 990 or 990? For Organizations Exempt From Income Tax Under section 501(c) and section 527 2 0 1 6 PComplete if the organization is described below. PAttach to Form 990 or Form 990-EZ. PInformation about Schedule (Form 990 or 990-EZ) and its instructions is at Open to Public Department of the Trensun Internal Rex enue Sen ice Inspection If the organization answered "Yes" on Form 990, Part IV, Line 3, or Form 990-EZ, Part V, line 46 (Political Campaign Activities), then a Section 501(c)(3) organizations Complete Parts l-A and Do not complete Part l-C 0 Section 501(c) (other than section 501(c)(3)) organizations Complete Parts l-A and below Do not complete Part I-B a Section 527 organizations Complete Part I-A only If the organization answered "Yes" on Form 990, Part IV, Line 4, or Form 990-EZ, Part VI, line 47 (Lobbying Activities), then 0 Section 501(c)(3) organizations that have filed Form 5768 (election under section 501(h)) Complete Part ll-A Do not complete Part 0 Section 501(c)(3) organizations that have NOT filed Form 5768 (election under section 501(h)) Complete Part Do not complete Part ll-A If the organization answered "Yes" on Form 990, Part IV, Line 5 (Proxy Tax) (see separate instructions) or Form 990-EZ, Part V, line 35c (Proxy Tax) (see separate instructions), then 0 Section 501(c)(4), (5), or (6) organizations Complete Part Name of the organization CHARLES KOCH INSTITUTE Employer identification number 27-4967732 Complete if the organization is exempt under section 501(c) or is a section 527 organization. 1 Prowde a description of the organization's direct and indirect political campaign actIVIties in Part IV 2 Political expenditures 3 Volunteer hours Part I-B Complete if the organization is exempt under section 501(c)(3). 1 Enter the amount of any tax incurred by the organization under section 4955 2 Enter the amount of any tax incurred by organization managers under section 4955 3 If the organization incurred a section 4955 tax, did it file Form 4720 for this yearcorrection made? Yes No If "Yes," describe in Part IV Complete if the organization is exempt under section 501(c), except section 501(c)(3). 1 Enter the amount directly expended by the filing organization for section 527 exempt Function actIVIties Enter the amount of the filing organization's funds contributed to other organizations for section 527 exempt function actIVIties 3 Total exempt function expenditures Add lines 1 and 2 Enter here and on Form 1120-POL, line 17b 4 Did the filing organization fiIeForm 1120-POL for this year? Yes No 5 Enter the names, addresses and employer identification number (EIN) of all section 527 political organizations to which the filing organization made payments For each organization listed, enter the amount paid from the filing organization?s funds Also enter the amount of political contributions received that were and directly delivered to a separate political organization, such as a separate segregated fund or a political action committee (PAC) If additional space is needed, prowde information in Part IV Name Address EIN Amount paid from Amount of political filing organization?s contributions received funds If none, enter and and -0- directly delivered to a separate political organization If none, enter -0- 2 3 4 5 6 For Paperwork Reduction Act Notice, see the instructions for Form 990 or 990-EZ. No 500845 Schedule (Form 990 or 990-EZ) 2016 Schedule (Form 990 or 990-EZ) 2016 Complete if the organization is exempt under section 501(c)(3) and filed Form 5768 (election under section 501(h)). A Check IF the FIlIng organizatIon belongs to an affiliated group (and list In Part IV each affiliated group member's name, address, EIN, expenses, and share of excess lobbying expenditures) Check l:l If the fIlIng organizatIon checked box A and "lImIted control" prOVISIons apply Page 2 FIlIng AffIlIated Limits on Lobbying Expenditures organization's group totals (The term "expenditures" means amounts paid or incurred.) totals 1a Total lobbying expenditures to Influence publIc opInIon (grass roots lobbying) 0 0 Total lobbying expenditures to Influence a legislative body (dIrect lobbyIng) 0 0 Total lobbyIng expenditures (add lines 1a and 1b) 0 0 Other exempt purpose expendItures 25,852,606 7,203,539 Total exempt purpose expendItures (add lines 1c and 1d) 25,852,606 7,203,539 Lobbying nontaxable amount Enter the amount from the Followmg table In both 1,000,000 510,177 columns If the amount on line 1e, column or is: The lobbying nontaxable amount is: Not over $500,000 20% of the amount on Ine 1e Over $500,000 but not over $1,000,000 $100,000 plus 15% of the excess over $500,000 Over $1,000,000 but not over $1,500,000 $175,000 plus 10% of the excess over $1,000,000 Over $1,500,000 but not over $17,000,000 $225,000 plus 5% of the excess over $1,500,000 Over $17,000,000 $1,000,000 9 Grassroots nontaxable amount (enter 25% of line 11?) 250,000 127,544 Subtract lIne lg from line 1a If zero or less, enter -0- i Subtract lIne 1f from line 1c If zero or less, enter -0- 1 If there Is an amount other than zero on eIther line lb or lIne 1i, did the organization ?le Form 4720 reporting l:l l:l section 4911 tax for this year? Yes No 4-Year Averaging Period Under section 501(h) (Some organizations that made a section 501(h) election do not have to complete all of the five columns below. See the separate instructions for lines 2a through 2f.) Lobbying Expenditures During 4-Year Averaging Period calendar year (or ?scal year 2013 2014 2015 2016 Total beginning In) 2a LobbyIng nontaxable amount 1,000,000 1,000,000 LobbyIng ceiling amount (150% of lIne 2a, column(e)) 1'500?000 Total lobbying expendItures 0 0 Grassroots nontaxable amount 250,000 250,000 Grassroots ceiling amount (150% of lIne 2d, column 375?000 Grassroots lobbyIng expenditures 0 0 Schedule (Form 990 or 990-EZ) 2016 Schedule (Form 990 or 990-EZ) 2016 Page 3 Part II-B Complete if the organization is exempt under section 501(c)(3) and has NOT filed Form 5768 (election under section 501(h)). For each ?Yes" response on [Ines 1a through 11 below, prowde In Part IV a detailed descrIptIon of the actIVIty Yes No Amount 1 During the year, dId the fIlIng organization attempt to Influence foreign, national, state or local legislation, 1' 2a Complete if the organization is exempt under section 501(c)(4), section 501(c)(5), or section 501(c) Including any attempt to influence publIc opInion on a legislative matter or referendum, through the use of Volunteers? PaId staff or management (Include compensation In expenses reported on lines 1: through MedIa advertIsements? MaIlIngs to members, legislators, or the public? Publications, or published or broadcast statements? Grants to other organIzatIons for lobbying purposes? Direct contact WIth legislators, theIr staffs, government offICIals, or a legislative body? RallIes, demonstratIons, semInars, conventIons, speeches, lectures, or any 5imI ar means? Other actIVItIes7 Total Add ?me 1c through 1i Did the actIVItIes In line 1 cause the organizatIon to be not descrIbed In sectIon 501(c)(3)? If "Yes," enter the amount of any tax incurred under sectIon 4912 If "Yes," enter the amount of any tax incurred by organizatIon managers under sectIon 4912 If the filing organization Incurred a section 4912 tax, dId it file Form 4720 for thIs year? 1 2 3 Were substantIally all (90% or more) dues received nondeductible by members? Did the organizatIon make only In-house lobbyIng expenditures of $2,000 or less? Did the organizatIon agree to carry over lobbying and polItical expendItures from the prIor year? Yes No 1 2 3 Part Complete if the organization is exempt under section 501(c)(4), section 501(c)(5), or section 501(c)(6) and if either BOTH Part lines 1 and 2, are answered "No" OR (D) Part line 3, is answered ?Yes." 5 Dues, assessments and amounts from members SectIon 162(e) nondeducthle lobbyIng and politIcal expenditures (do not include amounts of political expenses for which the section 527(f) tax was paid). Current year Carryover from last year Total Aggregate amount reported In section 6033(e)(1)(A) notIces of nondeducthle sectIon 162(e) dues If notices were sent and the amount on lIne 2c exceeds the amount on line 3, what portIon of the excess does the organizatIon agree to carryover to the reasonable estimate of nondeductible lobbying and political expendIture next year? Taxable amount of lobbyIng and polItical expendItures (see Instructions) 1 2a 2b 2c Supplemental Information Prowde the descriptions reqUIred for Part l-A, lIne 1, Part l-B, ?me 4, Part l-C, line 5, Part II-A (affiliated group lIst), Part II-A, lInes 1 and 2 (see instructIons), and Part line 1 Also, complete thIs part for any additIonal InformatIon SCHEDULE C, PART II-A Return Reference Explanation $7,203,539 AFFILIATED GROUP MEMBER NAME STAND TOGETHER, INC ADDRESS 1320 COURTHOUSE RD, STE 220, ARLINGTON, VA 22201 LOBBYING EXPENSES NONE TOTAL EXPENSES $7,203,539 TOTAL EXPENSES Schedule (Form 990 or 990EZ) 2016 Iefile GRAPHIC print - DO NOT PROCESS As Filed Data - SCHEDULE (Form 990) Department of the Treasun Supplemental Financial Statements OMB No 1545-0047 Complete if the organization answered "Yes," on Form 990, 2 0 1 6 Part IV, line 6, 7, 8, 9, 10, 11a, 11b, 11c, 11d, 11e, 11f, 12a, or 12b. Attach to Form 990. Open to Public Internal Rexenue semce Information about Schedule (Form 990) and its instructions is at Inspection Name of the organization CHARLES KOCH INSTITUTE Employer identification number 27-4967732 Organizations Maintaining Donor Advised Funds or Other Similar Funds or Accounts. Complete if the organization answered "Yes" on Form 990, Part IV, line 6. 1 Total number at end of year 2 Aggregate value of contributions to (during year) 3 Aggregate value of grants from (during year) Aggregate value at end of year a Donor adVised funds Funds and other accounts Did the organization inform all donors and donor adVisorS in writing that the assets held in donor adVIsed funds are the organization's property, subject to the organization's excluswe legal control? l:l Yes l:l No 6 Did the organization inform all grantees, donors, and donor adVisorS in writing that grant funds can be used only for charitable purposes and not for the benefit of the donor or donor adVisor, or for any other purpose conferring impermISSIble private benefit? l:l Yes l:l No Conservation Easements. Complete if the organization answered "Yes" on Form 990, Part IV, line 7. 1 Purpose(s) of conservation easements held by the organization (check all that apply) l:l Preservation of land for public use (e recreation or education) l:l Preservation of an historically important land area l:l Protection of natural habitat l:l Preservation of a certified historic structure l:l Preservation of open space 2 Complete lines 2a through 2d if the organization held a qualified conservation contribution in the form of a conservation easement on the last day of the tax year Held at the End of the Year a Total number of conservation easements 2a Total acreage restricted by conservation easements 2b Number of conservation easements on a certified historic structure included in 2c Number of conservation easements included in achIred after 8/17/06, and not on a historic 2d structure listed in the National Register 3 Number of conservation easements modified, transferred, released, or terminated by the organization during the tax year Number of states where property subject to conservation easement is located Does the organization have a written policy regarding the periodic monitoring, inspection, handling of Violations, and enforcement of the conservation easements it holds? l:l Yes l:l No 6 Staff and volunteer hours devoted to monitoring, inspecting, handling of Violations, and enforcmg conservation easements during the year 7 Amount of expenses incurred in monitoring, inspecting, handling of Violations, and enforCIng conservation easements during the year 8 Does each conservation easement reported on line 2(d) above satisfy the reqUIrementS of section and section l:l Yes l:l No 9 In Part describe how the organization reports conservation easements in its revenue and expense statement, and balance sheet, and include, if applicable, the text of the footnote to the organization?s finanCIal statements that describes the organization's accounting for conservation easements Organizations Maintaining Collections of Art, Historical Treasures, or Other Similar Assets. Complete if the organization answered "Yes" on Form 990, Part IV, line 8. 1a If the organization elected, as permitted under SFAS 116 (ASC 958), not to report in its revenue statement and balance sheet works of art, historical treasures, or other Similar assets held for public exhibition, education, or research in furtherance of public serVice, pr0Vide, in Part the text of the footnote to its finanCIal statements that describes these items If the organization elected, as permitted under SFAS 116 (ASC 958), to report in its revenue statement and balance sheet works of art, historical treasures, or other Similar assets held for public exhibition, education, or research in furtherance of public serVice, prowde the followmg amounts relating to these items Revenue included on Form 990, Part line 1 (ii)AssetS included in Form 990, Part 2 If the organization received or held works of art, historical treasures, or other Similar assets for finanCIal gain, prOVide the followmg amounts reqUIred to be reported under SFAS 116 (ASC 958) relating to these items a Revenue included on Form 990, Part line 1 Assets included in Form 990, Part For Paperwork Reduction Act Notice, see the Instructions for Form 990. Cat No 52283D Schedule (Form 990) 2016 Schedule (Form 990) 2016 Page 2 Organizations Maintaining Collections of Art, Historical Treasures, or Other Similar Assets (continued) 3 Usmg the organIzatIon's achISItion, accessmn, and other records, check any of the followmg that are a SignIfIcant use of Its collection Items (check all that apply) a l:l Public exhibitIon l:l Loan or exchange programs l:l Scholarly research Other l:l Preservation for future generations 4 a description of the organIzatiori's collections and explain how they further the organization?s exempt purpose In Part 5 During the year, dId the organization so ICIt or receive donations of art, historical treasures or other assets to be sold to raise funds rather than to be maintaIned as part of the organization?s collection? El Yes El No Escrow and Custodial Arrangements. Complete If the organization answered "Yes" on Form 990, Part IV, line 9, or reported an amount on Form 990, Part X, line 21. 1a Is the organization an agent, trustee, custodian or other Intermediary for contributions or other assets riot Included on Form 990, Part El Yes El No If "Yes," explaIn the arrangement In Part and complete the followmg table Amount Beginning balance 1C AddItIons durIng the year 1d Distributions durIng the year 18 EndIng balance 1f 2a Did the organizatIon Include an amount on Form 990, Part X, line 21, for escrow or custodIal account lIability7 El Yes No If "Yes," explaIn the arrangement In Part Check here If the explanatIon has been prOVIded In Part . . . . . . . . l:l Endowment Funds. Complete If the organIzatIon answered "Yes" on Form 990, Part IV, Ine 10. (a)Current year (b)PrIor year (c)Two years back (d)Three years back (e)Four years back 1a BegInnIng of year balance ContrIbutIons Net Investment earnings, gains, and losses Grants or scholarships Other expendItures for faCIlitIes and programs AdmInistrative expenses 9 End of year balance 2 the estImated percentage of the current year end balance (line lg, column held as Board deSIgnated or quaSI-endowment Permanent endowment TemporarIIy restrIcted endowment The percentages on lInes 2a, 2b, and 2c should equal 100% 3a Are there endowment funds not In the possesSIon of the organizatIon that are held and admInIstered for the organization by Yes No unrelated organizations . . . . . . . . . . . . . . . . . 3a(i) (ii) related organizations . . . . . . . . . . . . . . . . . 3a(ii) If "Yes" on are the related organIzations Isted as reqUIred on Schedule . . . . . . . . . 3b 4 Describe In Part the Intended uses of the organIzation's endowment funds Land, Buildings, and Equipment. Complete If the or anIzatIon answered 'Yes' on Form 990, Part IV, line 11a. See Form 990, Part X, Me 10. Description of property Cost or other (b)Cost or other (other) (c)Accumulated depreCIatIon (d)Book value (Investment) 1a Land BUIldIngs Leasehold Improvements EqUIpment . . . 67,500 67,500 0 Other . Total. Add lines 1a through 1e (Column (cl) must equal Form 990, Part X, column (B), line 10(c)) . . 0 Schedule (Form 990) 2016 Schedule (Form 990) 2016 Page 3 Investments?Other Securities. Complete if the organization answered ?Yes' on Form 990, Part IV, line 11b. See Form 990, Part X, line 12. Description of security or category (b)Book value (c)Method of valuation (Including name of security) Cost or end-of-year market value (1)FinanCIal derivatives (2)Closely-held eqUIty Interests (3)Other (A) DOMESTIC PASSIVE INV 254,576,764 (A) (B) (C) (D) (E) (F) (G) (H) Total. (Column must equal FONT) 990, Part X, col (B) line 12 254,576,764 Investments?Program Related. Complete if the organization answered ?Yes' on Form 990, Part IV, line 11c. See Form 990, Part X. line 13. Description of investment Book value Method of valuation Cost or end-of-year market value (1) (2) (3) (4) (5) (6) (7) (8) (9) Total. (Column must equal Form 990, Part X, col (B) line 13) Other Assets. Complete if the organization answered 'Yes' on Form 990, Part IV, line 11d See Form 990, Part X, line 15 Description Book value (1) (2) (3) (4) (5) (6) (7) (8) (9) Total. (Column must equal Form 990, Part X, col (B) line 15Other Liabilities. Complete if the organization answered 'Yes' on Form 990, Part IV, line He or 11f. See Form 990, Part X, line 25. 1_ Description of liability Book value (1) Federal income taxes Total. (Column must equal FONT) 990, Part X, col (B) line 25) I 2. Liability for uncertain tax p05itions In Part prowde the text of the footnote to the organization's finanCIal statements that reports the organization's liability for uncertain tax p05itions under FIN 48 (ASC 740) Check here if the text of the footnote has been prowded in Part l:l Schedule (Form 990) 2016 Schedule (Form 990) 2016 Page 4 Reconciliation of Revenue per Audited Financial Statements With Revenue per Return Complete If the organIzatIon answered 'Yes' on Form 990, Part IV, Ine 12a. 1 Total revenue, gaIns, and other support per audIted fInanCIal statements . . . . . . . 1 2 Amounts Included on Ine 1 but not on Form 990, Part Ine 12 a Net unrealized gaIns (losses) on Investments . . . . 2a Donated serVIces and use RecoverIes of prIor year grants . . . . . . . . . . . 2c Other (DescrIbe In Part . . . . . . . . . . . . 2d Add Ines 2a through Subtract Ine 2e from Ine Amounts Included on Form 990, Part Ine 12, but not on Ine 1 3 Investment expenses not Included on Form 990, Part Ine 7b . 4a Other (DescrIbe In Part . . . . . . . . . . . 4b Add Ines Total revenue Add Ines 3 and 4c. (ThIs must equal Form 990, Part I, Ine Reconciliation of Expenses per Audited Financial Statements With Expenses per Return. Complete If the organIzatIon answered 'Yes' on Form 990, Part IV, Ine 12a. 1 Total expenses and losses per audIted FInanCIal statements . . . . . . . . . . . 1 2 Amounts Included on Ine 1 but not on Form 990, Part IX, Ine 25 a Donated serVIces and use PrIor year adjustments . . . . . . . . . . . . 2b Other losses . . . . . . . . . . . . . . . . 2c Other (DescrIbe In Part . . . . . . . . . . . . 2d Add Ines 2a through SubtractIIne 2e from Ine Amounts Included on Form 990, Part IX, Ine 25, but not on Ine 1: 3 Investment expenses not Included on Form 990, Part Ine 7b . . 4a Other (DescrIbe In Part . . . . . . . . . . . . 4b AddIInes4aand4b . . . . . . . . . . . . . . . . . . . . . 4c 5 Total expenses Add Ines 3 and 4c. (ThIs must equal Form 990, Part I, Ine Supplemental Information the descrIptIons reqUIred for Part II, Ines 3, 5, and 9, Part Ines 1a and 4, Part IV, Ines 1b and 2b, Part V, Ine 4, Part X, Ine 2, Part XI, Ines 2d and 4b, and Part XII, Ines 2d and 4b Also complete thIs part to prowde any addItIonal Informatlon Return Reference ExplanatIon See AddItIonal Data Table Schedule (Form 990) 2015 Schedule (Form 990) 2015 Page 5 Supplemental Information (continued) Return Reference Explanation Schedule (Form 990) 2016 Additional Data Supplemental Information Software ID: Software Version: EIN: 27-4967732 Name: CHARLES KOCH INSTITUTE Return Reference Eprnahon SCHEDULE D, PART X, LINE 2 MANAGEMENT HAS EVALUATED THE INCOME TAX POSITIONS UNDER THE GUIDANCE INCLUDED IN ASC 740 BASED ON THEIR REVIEW, MANAGEMENT HAS NOT IDENTIFIED ANY MATERIAL UNCERTAIN TAX POSITIONS TO BE RECORDED OR DISCLOSED IN THE FINANCIAL STATEMENTS Iefile GRAPHIC print - DO NOT PROCESS As Filed Data - DLN: 93493319108027I SCHEDULE OMB No 1545-0047 (Form 990 or 990- El) DComplete if the organization answered "Yes" on Form 990, 2 0 1 6 Part IV, line 13, or Form 990-EZ, Part VI, line 48. Attach to Form 990 or Form 990-EZ990 Open to In orma ion ins ruc ions is a ov arm . - Department ot the Trensun InSPECtlon Mamel??them?gaimization Employer identification number CHARLES KOCH INSTITUTE 27-4967732 YES NO 1 Does the organization have a raCIally nondiscriminatory policy toward students by statement in its charter, bylaws, other governing instrument, or in a resolution of its governing body? 1 Yes 2 Does the organization include a statement of its racially nondiscriminatory policy toward students in all its brochures, catalogues, and other written communications With the public dealing With student programs, and scholarships? 2 Yes 3 Has the organization pubIICIzed its raCIally nondiscriminatory policy through newspaper or broadcast media during the period of soliatation for students, or during the registration period if it has no soliatation program, in a way that makes the policy known to all parts of the general community it serves? If "Yes," please describe If please explain If you need more space use Part II 3 Yes 4 Does the organization maintain the followmg? a Records indicating the raCIal compoSItion of the student body, faculty, and administrative staff? 4a Yes Records documenting that scholarships and other finanCIal a55istance are awarded on a raCIally nondiscriminatory baSIs? 4b Yes Copies of all catalogues, brochures, announcements, and other written communications to the public dealing With student programs, and scholarships? 4c Yes Copies of all material used by the organization or on its behalf to solicit contributions? 4d No If you answered "No" to any of the above, please explain If you need more space, use Part II 5 Does the organization discriminate by race in any way With respect to a Students' rights or priVileges? 5a No poIICIes? 5b No Employment of faculty or administrative staff? 5c No Scholarships or other finanCIal a55istance? 5d No Educational poIICIes? 5e No Use of facilities? 5f No 9 Athletic programs? 59 No Other extracurricular actIVIties? 5h No If you answered "Yes" to any of the above, please explain If you need more space, use Part II 6a Does the organization receive any financial aid or aSSIstance from a governmental agency? 6a No Has the organization's right to such aid ever been revoked or suspended? 6b No If you answered "Yes" to either line 6a or line 6b, explain on Part II 7 Does the organization certify that it has complied With the applicable reqUIrements of sections 4 01 through 4 05 of Rev Proc 75-50, 1975-2 587, covering racial nondiscrimination? If explain on Part II 7 Yes Paperwork Reduction Act Notice, see the Instructions for Form 990 or Form 990-EZ. Cat No SOOBSD Schedule (Form 990 or 990-EZ) (2016) Schedule (Form 990 or 99OEZ) (2016) Page 2 Supplemental Information.Prowde the explanations reqUIred by Part I, lines applicable Also prowde any other additional information (see instructions) Return Reference Explanation SCHEDULE E, PART I, LINE 3 THE ORGANIZATION HAS PUBLISHED ITS RACIAL NONDISCRIMINATORY POLICY IN THE WASHINGTON TIMES SCHEDULE E, PART I, LINE 4D THE ORGANIZATION DOES NOT SOLICIT CONTRIBUTIONS Schedule (Form 990 or {2016) Iefile GRAPHIC print - DO NOT PROCESS As Filed Data - DLN: 93493319108027I OMB No 1545-0047 Grants and Other Assistance to Organizations, Governments and Individuals in the United States 2016 Complete if the organization answered "Yes," on Form 990, Part IV, line 21 or 22. Department of the Attach to Form 990. Open to Public Treasury Information about Schedule I (Form 990) and its instructions is at Inspection Internal Revenue SerVIce Name of the organization Employer identification number CHARLES KOCH INSTITUTE 27-4967732 General Information on Grants and Assistance 1 Does the organization maintain records to substantiate the amount of the grants or a55istance, the grantees' eligibility for the grants or a55istance, and the selection criteria used to award the grants or a55istanceDescribe in Part IV the organization's procedures for monitoring the use of grant funds in the United States Grants and Other Assistance to Domestic Organizations and Domestic Governments. Complete if the organization answered "Yes" on Form 990, Part IV, line 21, For any moment that received more than $5,000 Part II can be duplicated if additional space is needed Name and address of EIN IRC section Amount of cash Amount of non- Method of valuation (9) Description of Purpose of grant organization if applicable grant cash (book, FMV, appraisal, non-cash a55istance or a55istance or government a55istance other) See Additional Data Table Enter total number of other organizations listed in the line 1 table . For Paperwork Reduction Act Notice, see the Instructions for Form 990. Cat No 50055P Schedule I (Form 990) 2016 Schedule I (Form 990) 2016 Page 2 Grants and Other Assistance to Domestic Individuals. Complete if the organization answered "Yes" on Form 990, Part IV, line 22 Part can be duplicated if additional space is needed Type of grant or a55i5tance Number of Amount of Amount of Method of valuation (book, Description of non-cash a55i5tance reCIpients cash grant non-cash a55i5tance FMV, appraisal, other) (1) EDUCATIONAL PROGRAMS 386 419,962 Supplemental Information. Prowde the information reqUIred in Part I, line 2, Part column and any other additional information. Return Reference Explanation SCHEDULE I, PART 1, LINE 2 THE ORGANIZATION PROVIDED GRANTS TO THE ABOVE-MENTIONED ENTITIES TO ENABLE INDIVIDUALS WORKING AT THE GRANTEES TO THE CLASSROOM EDUCATIONAL PROGRAMS AS STUDENTS THE GRANT AWARD PROHIBIT THE GRANTEE FROM USING THE GRANT FUNDS FOR LOBBYING AND POLITICAL PURPOSES, AND MAY REQUIRE THE GRANTEE TO FURNISH A REPORT TO THE ORGANIZATION DESCRIBING THE CHARITABLE AND EDUCATIONAL ACTIVITIES IN CONNECTION WITH THE EDUCATIONAL PROGRAMS FULFILLED BY THE USE OF GRANT FUNDS Schedule I (Form 990) 2016 Additional Data Software ID: Software Version: EIN: Name: 27-4967732 CHARLES KOCH INSTITUTE Form 990,Schedule I, Part II, Grants and Other Assistance to Domestic Organizations and Domestic Governments. Name and address of organlzatlon or government EIN IRC sectlon If Amount of cash grant Amount of non- cash a55Istance Method of valuatlon (book, FMV, appraisal, other) (9) Descriptlon of non-cash aSSIstance Purpose of grant or a55Istance for Humane Studles 3301 Falrfax Drlve 400 VA 22201 94-1623852 501(c)(3) 84,720 Educatlon Cato 1000 Massachusetts Avenue NW DC 20001 23-7432162 501(c)(3) 42,909 Educatlon Form 990,Schedule I, Part II, Grants and Other Assistance to Domestic Organizations and Domestic Governments. Method of valuatlon of Purpose of grant Name and address of EIN IRC sectlon Amount of cash Amount of non- organlzatlon If grant cash (book, FMV, appraisal, non-cash a55Istance or a55Istance or government a55Istance other) Amerlcans for Prosperlty 52-1527294 501(c)(3) 40,840 Educatlon Foundahon 1310 Courthouse RD Ste 700 VA 22201 Georgla Publlc Pollcy 58-1943161 501(c)(3) 37,884 Educatlon Foundann 3200 Cobb Gallerla Parkway 214 Atlanta, GA 30339 Form 990,Schedule I, Part II, Grants and Other Assistance to Domestic Organizations and Domestic Governments. Name and address of organlzatlon or government EIN IRC sectlon If Amount of cash grant Amount of non- cash a55Istance Method of valuatlon (book, FMV, appraisal, other) (9) of non-cash a55Istance Purpose of grant or a55Istance Amerlcan Leglslatlve Exchange 2900 Dr 600 VA 22202 52-0140979 501(c)(3) 28,000 Educatlon Strata 255 Maln St 100 Logan, UT 84321 45-5339959 27,225 Educatlon Form 990,5chedule I, Part II, Grants and Other Assistance to Domestic Organizations and Domestic Governments. Purpose of grant Name and address of EIN IRC sectlon Amount of cash Amount of non- Method of valuatlon Descriptlon of organlzatlon If grant cash (book, FMV, appraisal, non-cash a55Istance or aSSIstance or government aSSIstance other) of 48-0891418 501(c)(3) 26,000 Educatlon 200 Glebe Rd 200 VA 22203 for Energy Research 76-0149778 501(c)(3) 23,272 Educatlon 1155 15th Street NW 900 DC 20005 Form 990,5chedule I, Part II, Grants and Other Assistance to Domestic Organizations and Domestic Governments. Name and address of EIN IRC sectlon Amount of cash Amount of non- Method of valuatlon Descriptlon of Purpose of grant organlzatlon If grant cash (book, FMV, appraisal, non-cash a55Istance or aSSIstance or government aSSIstance other) Pollcy InSItute 41-2057028 501(c)(3) 22,500 Educatlon 190 Lasalle St 1630 Chlcago, IL 60603 Atlas Network 94-2763845 501(c)(3) 21,000 Educatlon 1201 Street NW Floor 2 DC 20005 Form 990,Schedule I, Part II, Grants and Other Assistance to Domestic Organizations and Domestic Governments. Name and address of EIN IRC sectlon Amount of cash Amount of non- Method of valuatlon of Purpose of grant organlzatlon If grant cash (book, FMV, appraisal, non-cash a55Istance or a55Istance or government a55Istance other) Reason Foundatlon 95-3298239 501(c)(3) 21,000 Educatlon 3415 Sepulveda 400 Los Angeles, CA 90034 Movmg Plcture 20-3237801 501(c)(3) 19,079 Educatlon 375 GreenWIch Street New York, NY 10013 Form 990,Schedule I, Part II, Grants and Other Assistance to Domestic Organizations and Domestic Governments. Name and address of EIN IRC sectlon Amount of cash Amount of non- Method of valuatlon of Purpose of grant organlzatlon If grant cash (book, FMV, appraisal, non-cash a55Istance or a55Istance or government a55Istance other) Students for leerty 94-3435899 501(c)(3) 16,136 Educatlon 1101 17th Street NW 810 DC 20036 Grande Foundatlon 85-0468446 501(c)(3) 15,000 Educatlon PO Box 40336 Albuquerque, NM 87196 Form 990,5chedule I, Part II, Grants and Other Assistance to Domestic Organizations and Domestic Governments. Purpose of grant Name and address of EIN IRC sectlon Amount of cash Amount of non- Method of valuatlon Descriptlon of organlzatlon If grant cash (book, FMV, appraisal, non-cash a55Istance or aSSIstance or government aSSIstance other) Texas Publlc Pollcy Foundatlon 74-2524057 501(c)(3) 15,000 Educatlon 900 Congress Ave 400 Austln,TX 78701 for Justlce 52-1744337 501(c)(3) 13,000 Educatlon 901 Glebe Road 900 VA 22203 Form 990,5chedule I, Part II, Grants and Other Assistance to Domestic Organizations and Domestic Governments. Name and address of EIN IRC sectlon Amount of cash Amount of non- Method of valuatlon Descriptlon of Purpose of grant organlzatlon If grant cash (book, FMV, appraisal, non-cash a55Istance or aSSIstance or government aSSIstance other) Amerlcan of Trustees 52-1870003 501(c)(3) 12,545 Educatlon and Alumnl 1726 Street NW 802 DC 20036 Acton 38-2926822 501(c)(3) 12,500 Educatlon 98 Fulton St Grand Raplds, MI 49503 Form 990,5chedule I, Part II, Grants and Other Assistance to Domestic Organizations and Domestic Governments. Name and address of EIN IRC sectlon Amount of cash Amount of non- Method of valuatlon Descriptlon of Purpose of grant organlzatlon If grant cash (book, FMV, appraisal, non-cash a55Istance or aSSIstance or government aSSIstance other) Center for 20-3676886 501(c)(3) 12,000 Educatlon 124 South West Street 201 Alexandrla,VA 22314 Dally Caller News Foundatlon 45-2922471 501(c)(3) 12,000 Educatlon 1050 17th St NW 900 DC 20036 Form 990,Schedule I, Part II, Grants and Other Assistance to Domestic Organizations and Domestic Governments. Name and address of EIN IRC sectlon Amount of cash Amount of non- Method of valuatlon of Purpose of grant organlzatlon If grant cash (book, FMV, appraisal, non-cash a55Istance or a55Istance or government a55Istance other) TechFreedom 27-3567814 501(c)(3) 12,000 Educatlon 110 Maryland Ave NE 407 DC 20002 of Communlsm 52-1920858 501(c)(3) 12,000 Educatlon Memorlal Foundatlon 300 New Jersey Avenue NW 900 DC 20001 Form 990,5chedule I, Part II, Grants and Other Assistance to Domestic Organizations and Domestic Governments. Name and address of organlzatlon or government EIN IRC sectlon If Amount of cash grant Amount of non- cash aSSIstance Method of valuatlon (book, FMV, appraisal, other) (9) Descriptlon of non-cash a55 stance Purpose of grant or aSSIstance Compact for Amerlca Educatlonal Foundatlon 2323 Clear Lake Clty Ste 180-190 Houston,TX 77062 46-5469141 501(c)(3) 10,000 Educatlon Independent 100 Swan Way Oakland, CA 94621 94-3008370 501(c)(3) 10,000 Educatlon Form 990,5chedule I, Part II, Grants and Other Assistance to Domestic Organizations and Domestic Governments. Name and address of EIN IRC sectlon Amount of cash Amount of non- Method of valuatlon Descriptlon of Purpose of grant organlzatlon If grant cash (book, FMV, appraisal, non-cash a55Istance or aSSIstance or government aSSIstance other) James Madlson 59-2811908 501(c)(3) 10,000 Educatlon 100 North Duval Street Tallahassee, FL 32301 Manhattan for Pollcy 13-2912529 501(c)(3) 9,000 Educatlon Research 52 Avenue 3rd Floor New York, NY 10017 Form 990,Schedule I, Part II, Grants and Other Assistance to Domestic Organizations and Domestic Governments. Name and address of EIN IRC sectlon Amount of cash Amount of non- Method of valuatlon of Purpose of grant organlzatlon If grant cash (book, FMV, appraisal, non-cash a55Istance or a55Istance or government a55Istance other) Amerlca?s Future Foundatlon 52-1928321 501(c)(3) 8,000 Educatlon 1513 16th Street NW DC 20036 to Reduce 61-1701005 501(c)(3) 8,000 Educatlon Inc 919 Street Alexandrla,VA 22314 Form 990,Schedule I, Part II, Grants and Other Assistance to Domestic Organizations and Domestic Governments. Method of valuatlon of Purpose of grant Name and address of EIN IRC sectlon Amount of cash Amount of non- organlzatlon If grant cash (book, FMV, appraisal, non-cash a55Istance or a55Istance or government a55Istance other) 51-0235174 501(c)(3) 8,000 Educatlon 1101 North nghland Street VA 22201 Natlonal Taxpayers Unlon 52-1122683 501(c)(3) 8,000 Educatlon Foundann 108 North Alfred Street Alexandrla,VA 22314 Form 990,Schedule I, Part II, Grants and Other Assistance to Domestic Organizations and Domestic Governments. Name and address of EIN IRC sectlon Amount of cash Amount of non- Method of valuatlon of Purpose of grant organlzatlon If grant cash (book, FMV, appraisal, non-cash a55Istance or a55Istance or government a55Istance other) State Pollcy Network 57-0952531 501(c)(3) 8,000 Educatlon 1655 North Fort Meyer Drlve VA 22209 Barry Goldwater for 86-0597661 501(c)(3) 7,500 Educatlon Publlc Pollcy Resear 500 Coronado Rd Phoenlx,AZ 85004 Form 990,5chedule I, Part II, Grants and Other Assistance to Domestic Organizations and Domestic Governments. IRC sectlon Amount of cash Amount of non- Method of valuatlon Descriptlon of Purpose of grant grant cash (book, FMV, appraisal, non-cash a55Istance or aSSIstance aSSIstance other) Name and address of EIN organlzatlon If or government Foundatlon for Economlc 13-6006960 501(c)(3) 7,500 Educatlon Educatlon 1819 Peachtree Road NE 300 Atlanta, GA 30309 The John MacIver 26-2639114 501(c)(3) 7,500 Educatlon for Publlc Pollcy 44 leflln St Ste 201 Madlson, WI 53703 Form 990,Schedule I, Part II, Grants and Other Assistance to Domestic Organizations and Domestic Governments. Name and address of EIN IRC sectlon Amount of cash Amount of non- Method of valuatlon Descriptlon of Purpose of grant organlzatlon If grant cash (book, FMV, appraisal, non-cash a55Istance or aSSIstance or government aSSIstance other) Commonwealth Foundatlon for 23-2473845 501(c)(3) 7,368 Educatlon Publlc Pollcy Alternat 225 State Street 302 17101 Iefile GRAPHIC print - DO NOT PROCESS IAS Filed Data - DLN: 93493319108027I Schedule Compensation Information (Form 990) For certain Officers, Directors, Trustees, Key Employees, and Highest Compensated Employees Complete if the organization answered "Yes" on Form 990, Pait IV, line 23. OMB NO 1545-0047 2015 Attach to Form 990. Department of the Information about Schedule (Form 990) and its instructions is at Open to Public Ins nection Treasury Internal Revenue SerVIce Name of the organization Employer identification number CHARLES KOCH INSTITUTE 27-49677 3 2 Questions Regarding Compensation 1a Check the appropiate box(es) ifthe organization prowded any of the followmg to or for a person listed on Form 990, Part VII, Section A, line 1a Complete Part to prowde any relevant information regarding these items First-class or charter travel Housmg allowance or reSIdence for personal use l? Travel for companions l? Payments for busmess use of personal reSIdence Tax idemnification and gross?up payments Health or club dues or initiation fees l? Discretionary spending account l? Personal serVIces (e maid, chauffeur, chef) Ifany ofthe boxes in line la are checked, did the organization follow a written policy regarding payment or reimbursement or prOVI5ion ofall ofthe expenses described above? If"No," complete Part to explain 2 Did the organization reqUIre substantiation prior to reimbursmg or allowmg expenses incurred by all directors, trustees, officers, including the CEO/Executive Director, regarding the items checked in line 1a? 3 Indicate which, if any, of the followmg the filing organization used to establish the compensation of the organization's CEO/Executive Director Check all that apply Do not check any boxes for methods used by a related organization to establish compensation of the CEO/Executive Director, but explain in Part l? Compensation committee l? Written employment contract l? Independent compensation consultant Compensation survey or study Form 990 of other organizations Approval by the board or compensation committee 4 During the year, did any person listed on Form 990, Part VII, Section A, line la With respect to the filing organization or a related organization a Receive a severance payment or change?of?control payment? PartICIpate in, or recewe payment from, a supplemental nonqualified retirement plan? PartICipate in, or receive payment from, an eqUity-based compensation arrangement? If"Yes" to any of lines 4a?c, list the persons and prowde the applicable amounts for each item in Part Only 501(c)(3), 501(c)(4), and 501(c)(29) organizations must complete lines 5-9. 5 For persons listed on Form 990, Part VII, Section A, line la, did the organization pay or accrue any compensation contingent on the revenues of a The organization? Any related organization? If"Yes," on line 5a or 5b, describe in Part 6 For persons listed on Form 990, Part VII, Section A, line la, did the organization pay or accrue any compensation contingent on the net earnings of a The organization? Any related organization? If"Yes," on line 6a or 6b, describe in Part 7 For persons listed on Form 990, Part VII, Section A, line la, did the organization prowde any non-fixed payments not described in lines 5 and 6? If"Yes," describe in Part 8 Were any amounts reported on Form 990, Part VII, paid or accured pursuant to a contract that was subject to the initial contract exception described in Regulations section 53 If"Yes," describe in Part 9 If"Yes" on line 8, did the organization also follow the rebuttable presumption procedure described in Regulations section For Reduction Act Notice, see the Instructions for Form 990. at 50 5 3T Schedule (Form 990) 2015 ScheduleJ(Form990)2015 Page2 Officers, Directors, Trustees, Key Employees, and Highest Compensated Employees. Use duplicate copies if additional space is needed. For each indiVidual whose compensation must be reported on Schedule J, report compensation from the organization on row and from related organizations, described in the instructions, on row (ii) Do not list any indIVIduals that are not listed on Form 990, Part VII Note.The sum ofcolumns for each listed indiVidual must equal the total amount of Form 990, Part VII, Section A, line 1a, applicable column (D) and (E) amounts for that indiVidual (A) Name and Title (B) Breakdown of and/or 1099-MISC compensation (C) Retirement and (D) Nontaxable (E) Total of columns (F) Compensation in (ii) (In) other deferred benefits column(B) reported (I) corn Bonus 81 incentive Other reportable compensation as deferred on prior compensation compensation Form 990 1 BRIAN HOOKSPRESIDENT 242,383 500,000 0 15,900 24,049 782,332 (ii249.139 65,000 0 15,435 16,133 345,707 (ii(E) 150.018 100,000 0 15,000 500 265,518 STAFF (iiaA?l?gloNNlegIl?-FERS (E) 197.26 20,000 0 11,200 16,133 244,559 (ii135.905 60,000 0 11,800 7,157 214,862 DEVELOPMENT (iiVIKRANT REDDY - 175.000 22 500 0 10 100 483 208 083 SENIOR RESEARCH FELLOW (I) (ii141.720 30,000 0 8,338 16,133 196,191 COMMUNICATIONS MKTG (iiSchedule (Form 990) 2015 Schedule] (Form 990) 2015 Page 3 Supplemental Information Prowde the Information, explanation, or descriptions reqUIred for Part 1, lines 1aand for Part II Also complete thIS part for any additional Information I Ret urn Ref erence Explanation SCHEDULE J, PART I, LINE 1A SCHEDULE J, PART 1, LINE 7 THE ORGANIZATION PAID $52 PER MONTH IN SOCIAL CLUB DUES FOR AN EMPLOYEE SO THE ORGANIZATION COULD USE THE CLUB FOR EVENTS THE DUES WERE NOT TREATED AS TAXABLE COMPENSATION BECAUSE THE CLUB IS USED EXCLUSIVELY BY THE ORGANIZATION FOR THE EMPLOYEE DOES NOT USE THE CLUB INCENTIVE COMPENSATION IS BASED ON EXTRAORDINARY EFFORTS AND SERVICES PROVIDED TO THE ORGANIZATION, NOT BASED ON FINANCIAL RESULTS OF THE INSTITUTE Schedule (Form 990) 2015 Iefile GRAPHIC print - Do NOT PROCESS As Filed Data - DLN: 93493319108027I Schedule Transactions With Interested Persons OMB 1545 0047 (Form 990 0r Complete if the organization answered "Yes" on Form 990, Part IV, lines 25a, 25b, 26, 27, 28a, 28b, or 28c, or Form 990-EZ, Part V, line 38a or 40b. 2 0 1 6 Attach to Form 990 or Form 990-EZ. Department ?the Tremun PInformation about Schedule (Form 990 or 990-EZ) and its instructions is at Open to Public Internal Rex enue Sen Ice I ection Name of the organization Employer identification number CHARLES KOCH INSTITUTE 27-4967732 Excess Benefit Transactions (section 501(c)(3), section 501(c)(4), and 501(c)(29) organizations only) Complete if the organization answered "Yes" on Form 990, Part IV, line 25a or 25b, or Form 990-EZ, Part V, line 40b 1 Name of disqualified person Relationship between disqualified person and Description of Corrected? organization transaction Yes No 2 Enter the amount of tax incurred by organization managers or disqualified persons during the year under section 4958 . . . . . . . . . . . . . . . . 3 Enter the amount of tax, if any, on line 2, above, reimbursed by the organization . Loans to and/or From Interested Persons. Complete if the organization answered "Yes" on Form 990-EZ, Part V, line 38a, or Form 990, Part IV, line 26, or if the organization reported an amount on Form 990, Part X, line 5, 6, or 22 Name of Relationship Purpose Loan to or from the (e)0rigina (f)Ba ance In (i)Written interested person With organization of loan organization? prinCIpal clue default? Approved by agreement? amount board or committee? To From Yes No Yes No Yes No Total Grants or Assistance Benefiting Interested Persons. Complete if the organization answered "Yes" on Form 990, Part IV, line 27. Name of interested person Relationship between Amount of a55istance Type of a55istance Purpose of a55istance interested person and the organization For Paperwork Reduction Act Notice, see the Instructions for Form 990 or 990-EZ. Cat No 50056A schedule (Form 990 or 990-EZ) 2016 Schedule (Form 990 or 990-EZ) 2016 Business Transactions Involving Interested Persons. Complete If the organization answered "Yes" on Form 990, Part IV, line 28a, 28b, or 28c. Page 2 Name of Interested person between Interested person and the organlzatlon Amount of transactlon of transactlon Sharing of organization's revenues? Yes No (1) SEE SCHEDULE PART Supplemental Information Prowde Information for responses to questlons on Schedule (see Instructlons) I Return Reference SCHEDULE L, PART IV, LINE 1 Explanation A 1888 MANAGEMENT LLC CHARLES KOCH IS A DIRECTOR OF CKI AND 1888 MANAGEMENT LLC IS A 35% CONTROLLED ENTITY $423,852 INVESTEMENT MANAGEMENT FEES NO Schedule (Form 990 or 990-EZ) 2016 Iefile GRAPHIC print - Do NOT PROCESS As Filed Data - SCHEDULE 0 (Form 990 or 990- El) Department of the Treasun 1 Supplemental Information to Form 990 or 990-EZ OMB No 1545-0047 Complete to provide information for responses to specific questions on 2 0 1 6 Form 990 or 990-EZ or to provide any additional information. Attach to Form 990 or 990-EZ. Information about Schedule 0 (Form 990 or 990-EZ) and its instructions is at Open to Inspection 5F 'tii?'bF??a'?iEatlon CHARLES KOCH INSTITUTE 990 Schedule 0, Supplemental Information Employer identification number 27-4967732 Return Reference Explanatlon 1 FORM 990, ADVANCE THESE PRINCIPLES, CHALLENGE CONVENTION, AND ELIMINATE BARRIERS THAT STIFLE CREATIVITY AND PART I, LINE PROGRESS 990 Schedule 0, Supplemental Information Return Explanation Reference FORM 990, INSPIRED BY A RECOGNITION THAT FREE PEOPLE ARE CAPABLE OF EXTRAORDINARY THINGS, THE CHARLE PART KOCH INSTITUTE SUPPORTS EDUCATIONAL PROGRAMS AND DIALOGUE TO ADVANCE THESE PRINCIPLES, LINE 1 HALLENGE CONVENTION, AND ELIMINATE BARRIERS THAT STIFLE CREATIVITY AND PROGRESS 990 Schedule 0, Supplemental Information Return Explanation Reference FORM 990, CHARLES KOCH, ELIZABETH KOCH AND CHARLES CHASE KOCH HAVE A FAMILY RELATIONSHIP VARI PART VI, OUS OFFICERS AND DIRECTORS HAVE A BUSINESS RELATIONSHIP SECTION A, LINE 2 990 Schedule 0, Supplemental Information Return Reference Explanation FORM 990, PART VI, SECTION A, LINE BB THERE ARE NO SUCH COMMITTEES 990 Schedule 0, Supplemental Information Return Explanation Reference FORM 990, A COPY OF THE FORM 990 WAS SENT TO AND REVIEWED BY THE TREASURER A PART VI, ND SECRETARY, AND BY THE AUDIT AND FINANCE COMMITTEE TIME ALLOWS, THE FORM SECTION B, 990 AND ALL REQUIRED SCHEDULES WILL BE PROVIDED TO THE BOARD OF DIRECTORS PRIOR TO FILING LINE 11B 3J3 3HJ. ELLVITIVAEI HO OJ. HEIHLEI EIHJ. EIHJ. EJNICIITIONI HEIHJEHM CINV EIHJ. SSEIEICICIV OJ. SVH OZL ENH CIEIVOEI EIHJ. HO SHOLOEHICI CIEIVOEI AEI NOILOEIS NI EIAVH AVIN CINV SHEIEIWEIIN CIEIVOS El I) LIA SHEIHM NI ?066 uoneumdxg umJau uoneuuow: 21uawa ddns 'o ampeqas 055 990 Schedule 0, Supplemental Information Return Explanation Reference FORM 990, THE COMPENSATION WAS DETERMINED AND APPROVED BY THE BOARD OF DIRECTORS BASED 0 PART VI, COMPARABLE AMOUNTS PAID BY COMPARABLE ORGANIZATIONS FOR COMPARABLE SERVICES SECTION B, LINE 15A 990 Schedule 0, Supplemental Information Return Explanation Reference FORM 990, WITH RESPECT TO COMPENSATION FOR THE OFFICERS. OTHER THAN THE PRESIDENT. FO PART VI, THE 2016 YEAR THE PRESIDENT AND HUMAN RESOURCES DIRECTOR DETERMINED THE COMPENSATION LEV SECTION B, ELS AND THOSE INDIVIDUALS WERE COMPENSATED BASED ON COMPARABLE AMOUNTS PAID BY COMPARABLE LINE 15B ORGANIZATIONS FOR COMPARABLE SERVICES ALL COMPENSATION AMOUNTS ARE PROVIDED TO AND REVEIW ED BY THE BOARD OF DIRECTORS 990 Schedule 0, Supplemental Information Return Reference Explanation FORM 990, PART VI, SECTION C, LINE 19 THE INSTITUTE MAKES DOCUMENTS AVAILABLE IN ACCORDANCE WITH IRS RULES 990 Schedule 0, Supplemental Information Return Explanation Reference FORM 990, THE ORGANIZATION FORMED AN AUDIT AND FINANCE COMMITTEE IN 2016 PART XII, LINE 20 Iefile GRAPHIC print - DO NOT PROCESS As Filed Data - DLN: 93493319108027I SCHEDULE Related Organizations and Unrelated Partnerships OMB 15450047 (Form 990) Complete if the organization answered "Yes" on Form 990, Part IV, line 33, 34, 35bAttach to Form 990. Information about Schedule (Form 990) and its instructions is at Open to Public Department of the Trensun Ins - ection Iiitemnl Re\ c?nllc? Sen ice Name of the organization Employer identification number CHARLES KOCH INSTITUTE 27-4967732 Identification of Disregarded Entities Complete if the organization answered "Yes" on Form 990, Part IV, line 33. a (C) (E) Name, address, and EIN (if applicable) of disregarded entity Primary actiVity Legal domICIle (state Total income End-of-year assets Direct controlling or foreign country) entity (1) CKI EVENTS LLC SCHOOL EVENTS DE 0 0 CKI 1320 COURTHOUSE RD STE 500 ARLINGTON, VA 22201 27?4967732 (2) WEB MEDIA LLC WEB HOSTING DE 0 0 CKI 1320 COURTHOUSE RD STE 500 ARLINGTON, VA 22201 Identification of Related Tax-Exempt Organizations Complete if the organization answered "Yes" on Form 990, Part IV, line 34 because it had one or more related tax-exempt organizations during the tax year. (C) 9 Name, address, and EIN of related organization Primary actiVity Legal domICIle (state Exempt Code section Public charity status Direct controlling Section 512(b) or foreign country) (if section 501(c)(3)) entity (13) controlled entity? Yes No KOCH FOUNDATION GRANT MAKING KS PF NA No 1320 COURTHOUSE RD STE 500 ARLINGTON, VA 22201 48-0918408 AND MARY KOCH FOUNDATION INC GRANT MAKING KS PF NA No PO BOX 2256 WICHITA, KS 67201 48-6113560 AND PROGRESS FUND INC GRANT MAKING KS PF NA No PO BOX 2256 WICHITA, KS 67201 54-1899251 TOGETHER INC PUBLIC CHARIT DE 10 CKI Yes 1320 COURTHOUSE RD STE 200 ARLINGTON, VA 22201 27-3197768 For Paperwork Reduction Act Notice, see the Instructions for Form 990. Cat No 50135Y Schedule (Form 990) 2016 Schedule (Form 990) 2016 Page 2 Identification of Related Organizations Taxable as a Partnership Complete if the organization answered ?Yes" on Form 990, Part IV, line 34 because it had one or more related organizations treated as a partnership during the tax year. Name, address, and EIN of related organization Primary actIVIty (C) Legal domICIle (state or foreign country) Direct controlling entity Predominant income(related, unrelated, excluded from tax under sections 512- 514) Share of total Income (9) Share of end?of?year assets (I) Disproprtionate Code General or Percentage allocations? amount in box managing ownership 20 of partner? Schedule K-1 (Form 1065) Yes No Yes No Identification of Related Organizations Taxable as a Corporation or Trust Complete if the organization answered "Yes" on Form 990, Part IV, line 34 because it had one or more related organizations treated as a corporation or trust during the tax year. Name, address, and EIN of related organization Primary actIVIty (sta (C) Legal domICIle te or foreign country) entity Direct controlling (E) Type of entity (C corp, corp, or trust) Share of total income 9 Share of end-of- year assets Percentage ownership (I) Section 512(b) (13) controlled entity7 Yes No Schedule (Form 990) 2016 Schedule (Form 990) 2016 Page 3 Transactions With Related Organizations Complete If the organization answered "Yes" on Form 990, Part IV, lIne 34, 35b, or 36. Note. Complete MM 1 If any entIty Is lIsted In Parts II, or IV of thIs schedule Yes N0 1 DurIng the tax year, dId the orgranIzatIon engage In any of the followmg transactIons WIth one or more related organIzatIons lIsted In Parts II-IV7 Recelpt of Interest, (ii)annUItIes, royaltIes, or(iv) rent from a controlled entIty . 13 N0 GIft, grant, or capItal contrIbutIon to related organIzatIon(s) . 1'3 N0 GIft, grant, or capItal contrIbutIon from related organIzatIon(s) . 1C N0 Loans or loan guarantees to or for related organIzatIon(s) 1d N0 Loans or loan guarantees by related organIzatIon(s) 1e N0 DIVIdends from related organIzatIon(s) 1f N0 9 Sale of assets to related organIzatIon(s) . 19 N0 Purchase of assets from related organIzatIon(s) . 1h N0 i Exchange of assets WIth related organIzatIon(s) . 1i N0 Lease of eqUIpment, or other assets to related organIzatIon(s) 1i Yes Lease of eqUIpment, or other assets from related organIzatIon(s) . 1k N0 Performance of serVIces or membershIp or fundraISIng soIICItatIons for related organIzatIon(s) 1' Yes Performance of serVIces or membershIp or fundralsmg solICItatIons by related organIzatIon(s) 1m N0 SharIng of eqUIpment, Ists, or other assets WIth related organIzatIon(s) . 1n Yes 0 SharIng of paId employees WIth related organIzatIon(s) . 10 Yes ReImbursement pad to related organIzatIon(s) for expenses . 1p No ReImbursement paId by related organIzatIon(s) for expenses . N0 Other transfer of cash or property to related organIzatIon(s) . 1r No 5 Other transfer of cash or property from related organIzatIon(s) . 15 N0 If the answer to any of the above Is "Yes," see the InstructIons for InformatIon on who must complete thIs lIne, IncludIng covered relatIonshIps and transactIon thresholds Name of related organIzatIon Transactlon type (C) Amou nt Involved Method of determInIng amount Involved Schedule (Form 990) 2016 Schedule (Form 990) 2016 Page 4 Unrelated Organizations Taxable as a Partnership Complete if the organization answered ?Yes" on Form 990, Part IV, line 37. Prowde the followmg Information for each entity taxed as a partnership through which the organization conducted more than five percent of its actIVIties (measured by total assets or gross revenue) that was not a related organization See instructions regarding exclu5ion for certain investment partnerships a Name, address, and EIN of entity Primary actiwty (C) Legal domICIle (state or foreign country) Predominant income (related, unrelated, excluded from tax under sections 512- 514) (8) Are all partners section 501(c)(3) organizations? Yes No Share of total income (9) hare of end?of?year assets Disproprtionate allocations? Yes No (I) Code amount in box of Schedule K-l (Form 1065) (R) General or Percentage managing ownership partner? Yes No Schedule (Form 990) 2016 Schedule (Form 990) 2016 Page 5 Supplemental Information Prowde additional Information for responses to questions on Schedule (see instructions) Return Reference Explanation Schedule (Form 990) 2016